Horton R. Prudden
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.
Horton Rorick Prudden SR, who also goes by Hortn Rorick Prudden, Horton Borick Prudden, Horton R Prudden, Horton Rorick Prudden, was a registered financial professional .
Horton is a previously registered financial professional and started their career in finance in 1968. Horton had worked at 9 firms and has passed the PC exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2001 - November 5, 2001
PAN-AMERICAN FINANCIAL ADVISERS
June 6, 1992 - June 27, 2001
TELARO SECURITIES, INC.
November 12, 1991 - May 15, 1992
PRENTICE SECURITIES, INCORPORATED
April 11, 1989 - October 22, 1991
DOMINICK & DICKERMAN LLC
September 26, 1988 - March 29, 1989
INDIVIDUAL'S SECURITIES LTD.
September 6, 1983 - June 14, 1988
PHILIPS, APPEL & WALDEN, INC.
January 11, 1973 - September 12, 1983
MULLER AND COMPANY, INC.
November 20, 1970 - January 20, 1973
A. C. KLUGER & CO.
November 21, 1968 - June 13, 1972
KERN SECURITIES CORP
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
PC
Date: 6/13/1989
AMEX Put and Call ExamCurrent Firm
PAN-AMERICAN FINANCIAL ADVISERS
CRD#: 15578 / SEC#: , 8-32639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAN-AMERICAN LIFE INSURANCE COMPANY | SHAREHOLDER | |
| LAGRONE, DANIEL EVERETT | GENERAL COUNSEL, SECRETARY OF CORPORATION, CHIEF COMPLIANCE OFFICER | 2789525 |
| LEGNON, JR., EDWIN K | FINOP, TREASUER, DIRECTOR | 4092877 |
| MCGUNAGLE, GEORGE FRANCIS | CHAIRMAN OF THE BOARD | 3233721 |
| SCHORR, RACHAEL DELLACCIO | PRESIDENT, CROP, SROP, DIRECTOR | 2128016 |
Disclosures
| Regulatory Event | 2 |
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.
