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TH

Teresa A. Horn

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CRD#: 4036069
TH

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.

Teresa Ann Horn, who also goes by Teresa Ann Hild, was a registered financial professional .

Teresa is a previously registered financial professional and started their career in finance in 2001. Teresa had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Teresa Ann Hild

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.
(1) START DATE 07/2000 I DEVOTE 20 HRS/MO AS EMPLOYEE IAR OF QUALITY FINANCIAL CONCEPTS. THIS IS AN INVESTMENT RELATED ACTIVITY & MY DUTIES INCLUDE: IAR ASSISTANT TO ADVISOR, ADMINISTRATIVE SUPPORT WITH CLIENTS. (2) START DATE 01/1999 I DEVOTE 5 HRS/MO AS EMPLOYEE/AGENT/ADMIN FOR QUALITY FINANCIAL CONCEPTS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE TO REVIEW CLIENTS NEED FOR LIFE AND HEALTH INSURANCE. (3)START DATE 4/1997 I DEVOTE 60 HRS/MO AS EMPLOYEE/ADMIN. ASST FOR QUALITY FINANCIAL CONCEPTS. THIS IS AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE CLIENT RELATIONS AND ADMINISTRATIVE SUPPORT. (4) START DATE 8/2001 I DEVOTE 20 HRS.MO AS CO-OWNER OF PRESERVATION PLAZA. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE OVERSIGHT OF COMMERCIAL REAL ESTATE BUILDINGS. (5) START DATE 4/1997 I DEVOTE 2 HRS/MO AS ADMINISTRATIVE ASSISTANT FOR QUALITY FINANCIAL CONCEPTS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE ACCOUNTING SUPPORT SERVICES. BUSINESS LOCATION FOR ALL ABOVE: 115 W BROADWAY AVE, MARYVILLE, TN 37801. (6) START DATE 4/1997 I DEVOTE 2 HRS/MO AS SECRETARY/TREASURER/CONSULTANT FOR SELART CORP. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE TO SERVE AS A NON-PAID BOARD MEMBER. BUSINESS LOCATION: 1025 LEVEE ST., DALLAS, TX 75207.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2018 - April 10, 2024

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
Maryville, TN
Past

December 8, 2016 - December 31, 2017

SECURITIES AMERICA, INC.

BD
CRD#: 10205
MARYVILLE, TN
Past

August 3, 2009 - December 8, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
MARYVILLE, TN
Past

April 1, 2004 - June 24, 2024

QUALITY FINANCIAL CONCEPTS

RIA
CRD#: 118886
MARYVILLE, TN
Past

January 3, 2003 - August 3, 2009

CUE FINANCIAL GROUP, INC.

BD
CRD#: 21033
MARYVILLE, TN
Past

January 3, 2002 - December 31, 2002

HIGH MARK SECURITIES, INC.

BD
CRD#: 42467
LAKELAND, FL
Past

February 6, 2001 - December 31, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/30/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2001
General Securities Representative Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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