Jefferson A. Hornsby
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.
Jefferson Arthur Hornsby, who also goes by Jefferson A Hornsby, Jefferson A Hornsby, was a registered financial professional .
Jefferson is a previously registered financial professional and started their career in finance in 2001. Jefferson had worked at 9 firms and has passed the Series 63, Series 66, 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
October 12, 2016 - April 17, 2018
NEWPORT GROUP SECURITIES, INC.
September 28, 2016 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
January 13, 2015 - October 24, 2016
RETIREMENT FUND MANAGEMENT
April 2, 2014 - January 6, 2015
GREENSPRING ADVISORS, LLC
December 12, 2012 - April 1, 2014
1ST GLOBAL ADVISORS INC
April 19, 2007 - April 1, 2014
1ST GLOBAL CAPITAL CORP.
September 2, 2004 - March 20, 2007
ENTERPRISE FUND DISTRIBUTORS, INC.
February 24, 2003 - August 13, 2004
CETERA INVESTMENT SERVICES LLC
February 11, 2003 - August 13, 2004
CETERA INVESTMENT SERVICES LLC
August 8, 2002 - October 17, 2002
MML INVESTORS SERVICES, LLC
November 7, 2001 - July 24, 2002
EQUITABLE ADVISORS, 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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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.
