Francis G. Horneff

HEROLD ADVISORS

New York, NY 10022-7513

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CRD#: 2766499

Professional summary

Francis George Horneff is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and LANTERN WEALTH ADVISORS, LLC located in New York, New York.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Francis has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INVESTMENT RELATED BUSINESS: HEROLD ADVISORS, INC., 805 THIRD AVENUE, NY, NY 10022. INVESTMENT ADVISORS, PORTFOLIO MANAGER SINCE 6/1/1996, 150 HOURS/MONTH (100 OF WHICH ARE DURING SECURITIES TRADING HOURS). Lantern Wealth Advisors, LLC - Investment Related. 35 Pinelawn Road Melville, NY 11747. Registered Investment Advisor Representative/Portfolio Manager as of 04/01/2024. Approximately 20 hours/month all of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis George Horneff'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

October 16, 2020 - Present

HEROLD ADVISORS, INC.

Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513

RIA

CRD#: 105090

New York, NY

Current

April 2, 2024 - Present

LANTERN WEALTH ADVISORS, LLC

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

RIA

CRD#: 147420

New York, NY

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

CRD#: 30996

New York, NY

Past

August 30, 1996 - November 5, 2020

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(11/2/2020)

Connecticut
(11/2/2020)

Florida
(11/2/2020)

Maryland
(11/2/2020)

Massachusetts
(1/6/2022)

Missouri
(11/2/2020)

Nevada
(11/2/2020)

New Jersey
(11/2/2020)

New York
(11/2/2020)

IAR

New York
(7/15/2022)

North Carolina
(11/24/2020)

Ohio
(7/2/2025)

Oregon
(6/11/2025)

Pennsylvania
(11/2/2020)

South Carolina
(4/9/2024)

Tennessee
(11/30/2020)

Texas
(3/27/2023)

Utah
(9/19/2024)

Vermont
(6/29/2021)

Virginia
(11/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/15/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

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Contact information

Main Address

845 Third Avene Suite 1703, New York, NY 10022-7513

Mailing Address

Phone number

(212) 371-3950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEROLD ADVISORS, INC. MANAGED ACCOUNT FIRM BROCHURE MARCH 2025 (3/31/2025)

HEROLD ADVISORS, INC. INDIVIDUAL INVESTMENT CONSULTING WRAP FEE ADVISORY PROGRAM BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 489,697,335

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Francis G. Horneff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis George Horneff's CRS (Customer Relationship Summary).

Certified licenses

Experience

LANTERN WEALTH ADVISORS, LLC

HEROLD & LANTERN INVESTMENTS, INC.

BERNARD HEROLD & CO., INC.

Primary Firm SEC Registration

HEROLD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2022

Series 63

Date: 9/26/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/29/1996

FINRA

Current Firm

HEROLD ADVISORS, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEROLD ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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