Albert A. Horwitz
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.
Albert Abram Horwitz was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1966. Albert had worked at 6 firms and has passed the Series 66, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - October 11, 2012
DOMINICK & DICKERMAN LLC
March 4, 2008 - October 11, 2012
DOMINICK & DICKERMAN LLC
October 24, 2002 - February 1, 2008
BURNHAM SECURITIES INC.
January 15, 2002 - September 18, 2002
BOSTON PARTNERS SECURITIES, L.L.C.
January 10, 2000 - March 28, 2002
BURNHAM SECURITIES INC.
July 19, 1973 - January 3, 2000
DAVID J. GREENE AND COMPANY, LLC
February 24, 1972 - December 31, 1973
SCHRODER & CO. INC.
December 12, 1966 - August 6, 1973
WERTHEIM & 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
Series 1
Date: 12/9/1966
Registered Representative ExaminationSeries 40
Date: 4/3/1972
Registered Principal ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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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