Levon 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.
Levon Horton was a registered financial professional .
Levon is a previously registered financial professional and started their career in finance in 2001. Levon had worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE 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 23, 2020 - December 20, 2021
ANDES CAPITAL GROUP, LLC
November 6, 2017 - December 31, 2019
RICHEMONT ADVISORS LLC
July 17, 2014 - December 18, 2015
COMMERCE ASSET MANAGEMENT, LLC
April 26, 2013 - July 1, 2013
FARR MILLER & WASHINGTON LLC
October 19, 2011 - February 8, 2012
INROADS CAPITAL MANAGEMENT LLC
January 6, 2004 - August 10, 2005
SMH CAPITAL ADVISORS LLC
December 3, 2003 - August 10, 2005
SANDERS MORRIS LLC
November 4, 2002 - October 16, 2003
FORESIDE FUNDS DISTRIBUTORS LLC
July 12, 2001 - October 2, 2002
ENERECAP PARTNERS, LLC
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
Series 7TO
Date: 1/23/2020
General Securities Representative ExaminationCurrent Firm
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
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.
