Robert A. Horowitz
Professional summary
Robert A Horowitz, who also goes by Robert A Horowitz, Robert Alan Horowitz, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Collierville, Tennessee and FIDELITY BROKERAGE SERVICES LLC located in Germantown, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 12, Series 4, Series 53 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert A Horowitz's CRS (Customer Relationship Summary).
Certified licenses
Education
CUNY Bernard M. Baruch College
Master of Business Administration (MBA) - Finance
1995
Hartwick College
Bachelor of Arts (BA) - History
1987
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 7628 W. Farmington Blvd Ste 110, Germantown, TN 38138August 27, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 7628 W. Farmington Blvd Ste 110, Germantown, TN 38138September 16, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 26, 2019 - September 25, 2020
CUSO FINANCIAL SERVICES, L.P.
August 26, 2019 - October 1, 2020
SORRENTO PACIFIC FINANCIAL, LLC
February 20, 2019 - April 17, 2019
SORRENTO PACIFIC FINANCIAL, LLC
February 20, 2019 - April 17, 2019
CUSO FINANCIAL SERVICES, L.P.
February 19, 2019 - September 25, 2020
CUSO FINANCIAL SERVICES, L.P.
February 19, 2019 - October 1, 2020
SORRENTO PACIFIC FINANCIAL, LLC
February 11, 2013 - May 3, 2019
J.P. MORGAN SECURITIES LLC
February 11, 2013 - May 3, 2019
J.P. MORGAN SECURITIES LLC
May 14, 2012 - February 25, 2013
CITIGROUP GLOBAL MARKETS INC.
May 14, 2012 - February 25, 2013
CITIGROUP GLOBAL MARKETS INC.
February 17, 2010 - May 17, 2012
LPL FINANCIAL LLC
February 10, 2010 - May 17, 2012
LPL FINANCIAL LLC
July 27, 2009 - December 21, 2009
MML INVESTORS SERVICES, LLC
January 27, 2009 - July 16, 2009
BB&T INVESTMENT SERVICES, INC.
January 26, 2009 - July 16, 2009
BB&T INVESTMENT SERVICES, INC.
July 9, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
July 9, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
May 29, 2007 - January 15, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - January 15, 2008
CITIGROUP GLOBAL MARKETS INC.
February 28, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 26, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 18, 2005 - February 23, 2007
UNITED BROKERAGE SERVICES, INC
April 18, 2005 - February 23, 2007
UNITED BROKERAGE SERVICES, INC
June 6, 2002 - April 15, 2005
SUMMIT FINANCIAL RESOURCES INC
May 23, 2002 - April 15, 2005
SUMMIT EQUITIES, INC.
March 29, 2000 - April 15, 2005
SUMMIT EQUITIES, INC.
February 25, 1999 - March 29, 2000
DEUTSCHE IXE, LLC
September 18, 1998 - February 16, 1999
CANTOR FITZGERALD SECURITIES
March 18, 1998 - September 16, 1998
FIRST UNION BROKERAGE SERVICES, INC.
March 10, 1998 - March 27, 1998
NATIONAL CLEARING CORP.
October 12, 1995 - March 6, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/31/2023)
(8/31/2021)
(10/11/2021)
(10/11/2021)
(10/9/2021)
(1/6/2023)
(3/1/2024)
(8/30/2021)
(10/12/2021)
(6/7/2023)
(9/29/2023)
(3/1/2024)
(10/9/2021)
(1/6/2024)
(9/29/2023)
(8/27/2021)
(3/31/2025)
(9/9/2021)
(3/31/2025)
(2/27/2024)
(3/1/2024)
(7/19/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 5/3/1999
Limited Representative-Equity Trader ExamSeries 12
Date: 4/17/2007
NYSE Branch Manager ExaminationFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Collierville, TNTRUST BUT VERIFY
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