Barry D. 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.
Barry David Horowitz was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1995. Barry had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2018 - November 8, 2021
FINANCIAL RESOURCES GROUP, LLC
November 4, 2011 - July 29, 2013
INDEPENDENT ADVISERS GROUP CORP
November 11, 2009 - August 30, 2018
OSAIC FS, INC.
August 22, 1995 - August 30, 2018
OSAIC FS, INC.
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
FINANCIAL RESOURCES GROUP, LLC
CRD#: 293380 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 361 |
| AUM (Assets Under Management) | $ 81,064,003 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
