Bernard Horn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bernard Horn was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1968. Bernard had worked at 8 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1994 - November 18, 1997
HUDSON SECURITIES,INC.
May 23, 1986 - September 24, 1992
NELSON SECURITIES,INC.
February 18, 1981 - March 5, 1986
HAPOALIM SECURITIES USA, INC.
February 8, 1980 - February 2, 1981
DEUTSCHE IXE, LLC
August 24, 1978 - December 4, 1979
ROSS, STEBBINS INC.
November 22, 1977 - November 19, 1983
LEHMAN BROTHERS INC.
May 3, 1971 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
April 16, 1968 - December 3, 1971
MARTIN J JOEL & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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