Ian C. Horowitz
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.
Ian Cadwallader Horowitz, who also goes by Ian Horowitz, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1994. Ian had worked at 7 firms and has passed the Series 63, Series 86, Series 87, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2011 - November 8, 2012
TOPEKA CAPITAL MARKETS INC.
September 23, 2009 - September 30, 2011
RAFFERTY CAPITAL MARKETS, LLC
November 3, 2005 - July 23, 2009
SOLEIL SECURITIES CORPORATION
June 30, 2000 - October 15, 2001
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 19, 1999 - September 29, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 20, 1997 - August 17, 1998
BERGER DISTRIBUTORS LLC
February 1, 1996 - October 1, 1997
FOUNDERS ASSET MANAGEMENT, INC.
September 19, 1994 - February 13, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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