AH
Andrew P. Horn
PICTET OVERSEAS
Montreal, Qc, H3B 4W5
Some features on this profile are disabled
CRD#: 4420414
AH
Professional summary
Andrew Peter Horn is a registered financial professional currently at PICTET OVERSEAS INC. .
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3 and Series 37 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Peter Horn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 2, 2012 - Present
PICTET OVERSEAS INC.
Office #1: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5Office #2: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B4W5BD
CRD#: 36500
Montreal, Qc,
Past
November 15, 2001 - March 30, 2012
PGM GLOBAL INC.
BD
CRD#: 104387
MONTREAL QUEBEC,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/18/2012)
RR
Alaska(4/18/2012)
RR
Arizona(4/18/2012)
RR
Arkansas(4/18/2012)
RR
California(4/18/2012)
RR
Colorado(4/2/2012)
RR
Connecticut(4/18/2012)
RR
Delaware(4/18/2012)
RR
District of Columbia(4/2/2012)
RR
Florida(4/2/2012)
RR
Georgia(4/18/2012)
RR
Hawaii(4/18/2012)
RR
Idaho(4/18/2012)
RR
Illinois(4/18/2012)
RR
Indiana(4/18/2012)
RR
Iowa(4/18/2012)
RR
Kansas(4/18/2012)
RR
Kentucky(4/18/2012)
RR
Louisiana(4/2/2012)
RR
Maine(4/18/2012)
RR
Maryland(4/2/2012)
RR
Massachusetts(4/18/2012)
RR
Michigan(4/18/2012)
RR
Minnesota(4/18/2012)
RR
Mississippi(4/18/2012)
RR
Missouri(4/18/2012)
RR
Montana(4/18/2012)
RR
Nebraska(4/18/2012)
RR
Nevada(4/18/2012)
RR
New Hampshire(4/18/2012)
RR
New Jersey(4/2/2012)
RR
New Mexico(4/18/2012)
RR
New York(4/18/2012)
RR
North Carolina(4/18/2012)
RR
North Dakota(4/18/2012)
RR
Ohio(4/2/2012)
RR
Oklahoma(4/18/2012)
RR
Oregon(4/18/2012)
RR
Pennsylvania(4/18/2012)
RR
Puerto Rico(4/2/2012)
RR
Rhode Island(4/18/2012)
RR
South Carolina(4/18/2012)
RR
South Dakota(4/18/2012)
RR
Texas(4/18/2012)
RR
Utah(4/18/2012)
RR
Vermont(4/2/2012)
RR
Virgin Islands(4/18/2012)
RR
Virginia(4/18/2012)
RR
Washington(4/18/2012)
RR
West Virginia(4/18/2012)
RR
Wisconsin(4/18/2012)
RR
Wyoming(4/18/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 7/20/2020
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 11/14/2001
Canada Module of the General Securities Registered Representative (With Options Questions)SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PO
PICTET OVERSEAS INC.
PICTET OVERSEAS INC.
CRD#: 36500 / SEC#: , 8-47285
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Mailing Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Phone number
(514) 288-8161
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOPAFIN SA | DIRECT OWNER | |
| BAHADOOR, NITISH RAJ NMN | PRINCIPAL OPERATIONS OFFICER | 7779149 |
| GIRARD, CELINE | CHIEF COMPLIANCE OFFICER | 6324683 |
| HAMID, ERIC JEAN-PAUL | CHIEF EXECUTIVE OFFICER (AMERICAS) & DIRECTOR | 5301753 |
| LA SALA, GASPARE NMN | DIRECTOR | 7275103 |
| PETIT, GRÉGORY ANDRÉ ROGER | DIRECTOR | 7275081 |
| RUST, LAURENT MARC | CHIEF FINANCIAL OFFICER, CHIEF OF STAFF, PRINCIPAL FINANCIAL OFFICER, CORPORATE SECRETARY, FIN-OP | 7854583 |
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.
