Randolph T. Horner
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.
Randolph Todd Horner was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 2001. Randolph had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2010 - May 17, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 18, 2008 - December 31, 2009
SYNERGY INVESTMENT GROUP, LLC
September 18, 2008 - November 27, 2012
AMERICAN INVESTMENT SERVICES
June 27, 2008 - December 31, 2011
SYNERGY INVESTMENT GROUP, LLC
May 3, 2006 - July 1, 2008
CETERA WEALTH SERVICES, LLC
April 14, 2005 - July 1, 2008
CETERA WEALTH SERVICES, LLC
May 15, 2003 - February 4, 2005
MML INVESTORS SERVICES, LLC
June 19, 2001 - February 4, 2005
MML INVESTORS SERVICES, 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
Current Firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
CRD#: 132070 / SEC#: 801-63282
Contact information
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.
