Christopher L. Horoky

CRD#: 4384923

Some features on this profile are disabled

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.

Christopher Louis Horoky, who also goes by Chris Horoky, Christopher L Horoky, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Horoky | Christopher L Horoky

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

March 6, 2019 - June 29, 2026

HOWARD BAILEY SECURITIES, LLC

RIA

CRD#: 282712

Mishawaka, IN

Past

February 22, 2018 - February 19, 2019

HOWARD BAILEY SECURITIES, LLC

RIA

CRD#: 282712

FORT WAYNE, IN

Past

October 7, 2016 - February 13, 2018

EDWARD JONES

RIA

CRD#: 250

SOUTH BEND, IN

Past

June 21, 2016 - February 13, 2018

EDWARD JONES

CRD#: 250

SOUTH BEND, IN

Past

January 13, 2006 - June 14, 2016

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

MISHAWAKA, IN

Past

May 15, 2001 - November 22, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HOWARD BAILEY SECURITIES, LLC

HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC

CRD#: 282712 / SEC#: 801-114636

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/15/2019 Terminated)

Florida

Registered Investment Advisory firm - (2/15/2019 Terminated)

Indiana

Registered Investment Advisory firm - (2/18/2019 Terminated)

Michigan

Registered Investment Advisory firm - (2/19/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (2/6/2017 Terminated)

Ohio

Registered Investment Advisory firm - (2/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/12/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HOWARD BAILEY SECURITIES, LLC

HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC

CRD#: 282712 / SEC#: 801-114636

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/15/2019 Terminated)

Florida

Registered Investment Advisory firm - (2/15/2019 Terminated)

Indiana

Registered Investment Advisory firm - (2/18/2019 Terminated)

Michigan

Registered Investment Advisory firm - (2/19/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (2/6/2017 Terminated)

Ohio

Registered Investment Advisory firm - (2/20/2019 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5916 Covington Rd, Fort Wayne, IN 46804

Mailing Address

Phone number

(260) 482-9559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOWARD BAILEY SECURITIES, LLC ADV PART 2A (11/7/2025)

Regulatory assets under management

Total Number of Accounts	3,793
AUM (Assets Under Management)	$ 484,882,228

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher L. Horoky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOWARD BAILEY SECURITIES, LLC

EDWARD JONES

EDWARD JONES

STATE FARM VP MANAGEMENT CORP.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

HOWARD BAILEY SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/2016

Series 63

Date: 5/18/2001

SIE

Date: 2/13/2018

Series 7

Date: 7/22/2016

Series 6

Date: 5/14/2001

Current Firm

HOWARD BAILEY SECURITIES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOWARD BAILEY SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors