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WH

William J. Horbatuk

Some features on this profile are disabled
CRD#: 4316672
WH

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.

William John Horbatuk, who also goes by William John Horbatuk Jr., was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2000. William had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William John Horbatuk Jr.

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.
The advisor shows no other business activity.

Blog Corner

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

May 21, 2014 - May 20, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

April 17, 2013 - May 27, 2014

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

November 16, 2007 - October 8, 2008

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

August 3, 2007 - October 26, 2007

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

June 14, 2006 - September 7, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

March 30, 2006 - July 7, 2006

BASIC INVESTORS INC.

BD
CRD#: 1187
MELVILLE, NY
Past

May 23, 2005 - December 6, 2005

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

January 13, 2005 - June 15, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

October 15, 2004 - January 14, 2005

BENSON YORK GROUP, INC.

BD
CRD#: 40231
MELVILLE, NY
Past

May 3, 2004 - December 17, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

December 2, 2002 - April 27, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

August 7, 2002 - December 3, 2002

BENSON YORK GROUP, INC.

BD
CRD#: 40231
MELVILLE, NY
Past

December 21, 2000 - July 22, 2002

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA

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: 4/4/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/20/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/26/2013
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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