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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JH

James S. Horvath

H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 2710222
JH

Professional summary

James Stephen Horvath, who also goes by Jim Horvath, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Horvath

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Stephen Horvath's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 20, 2026 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
New York, NY
Past

September 6, 2017 - January 12, 2026

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

October 15, 2012 - June 2, 2017

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

March 11, 2005 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

June 28, 2000 - December 17, 2004

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 24, 1998 - June 16, 2000

AUBREY G. LANSTON & CO., INC.

BD
CRD#: 19695
NEW YORK, NY
Past

December 17, 1996 - April 15, 1998

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

April 2, 1996 - December 17, 1996

DRESDNER SECURITIES (USA) INC.

BD
CRD#: 1993
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/18/2026)
RR
Arkansas
(2/19/2026)
RR
California
(2/19/2026)
RR
Colorado
(2/18/2026)
RR
Connecticut
(2/2/2026)
RR
Delaware
(2/19/2026)
RR
Georgia
(1/20/2026)
RR
Idaho
(2/17/2026)
RR
Illinois
(2/19/2026)
RR
Kansas
(2/18/2026)
RR
Louisiana
(2/18/2026)
RR
Maryland
(2/12/2026)
RR
Massachusetts
(1/26/2026)
RR
Michigan
(2/18/2026)
RR
Minnesota
(1/20/2026)
RR
Mississippi
(2/18/2026)
RR
Missouri
(2/11/2026)
RR
Montana
(1/30/2026)
RR
Nebraska
(1/21/2026)
RR
Nevada
(2/19/2026)
RR
New Hampshire
(1/20/2026)
RR
New Mexico
(2/19/2026)
RR
New York
(1/20/2026)
RR
North Carolina
(2/19/2026)
RR
North Dakota
(2/18/2026)
RR
Ohio
(1/21/2026)
RR
Oklahoma
(2/19/2026)
RR
Oregon
(2/5/2026)
RR
Pennsylvania
(2/17/2026)
RR
Rhode Island
(2/19/2026)
RR
South Dakota
(2/12/2026)
RR
Tennessee
(2/13/2026)
RR
Texas
(1/20/2026)
RR
Utah
(1/21/2026)
RR
Vermont
(1/20/2026)
RR
Virginia
(1/20/2026)
RR
West Virginia
(2/19/2026)
RR
Wisconsin
(1/20/2026)
RR
Wyoming
(2/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/8/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/8/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
CERASO, MATTHEW PAULFINOP, PFO, POO6822268
SILVERA, EDWARD DAVIDCHIEF EXECUTIVE OFFICER AND CHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

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