James A. Horton
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 Aaron Horton, who also goes by Jim Horton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 65, Series 63, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2010 - October 7, 2013
ANDINA FAMILY OFFICES
February 26, 2007 - February 26, 2008
INTERMOUNTAIN FINANCIAL SERVICES, INC.
December 3, 2003 - August 12, 2004
TAMAREN INVESTMENTS, LLC
June 13, 2001 - February 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2001 - February 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 1999 - March 30, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
Primary Firm SEC Registration
ANDINA FAMILY OFFICES
CRD#: 151762 / SEC#: 801-80633
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
ANDINA FAMILY OFFICES
CRD#: 151762 / SEC#: 801-80633
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,341 |
| AUM (Assets Under Management) | $ 1,016,634,723 |
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.
