James S. Horvath
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.
James Stephen Horvath, who also goes by Jim Horvath, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 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
January 20, 2026 - May 19, 2026
H.C.WAINWRIGHT & CO., LLC
September 6, 2017 - January 12, 2026
PIPER SANDLER & CO.
October 15, 2012 - June 2, 2017
CANACCORD GENUITY LLC
March 11, 2005 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
June 28, 2000 - December 17, 2004
COWEN AND COMPANY
April 24, 1998 - June 16, 2000
AUBREY G. LANSTON & CO., INC.
December 17, 1996 - April 15, 1998
COMMERZ MARKETS LLC
April 2, 1996 - December 17, 1996
DRESDNER SECURITIES (USA) 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
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
