David Jay Horin
Professional Summary
David Jay Horin, who also goes by David Jay Horan, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 2008 - 2014. David had worked at 4 firms and has passed the SIE, Series 62 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Jay Horan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
MEDIOBANCA SECURITIES USA | MEDIOBANCA SECURITIES USA LLC
Contact Information
Main Address
1450 Broadway 37th Floor, New York, NY 10018Mailing Address
1450 Broadway 37th Floor, New York, NY 10018Phone Number
(212) 991-4744Established
Delaware since 08/23/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MEDIOBANCA BANCA DI CREDITO FINANZIARIO S.P.A. | 100% OWNER | — |
| ACHZET, DAVID EDWARD | CHIEF COMPLIANCE OFFICER | 1209132 |
| ALMERINI, LOUIS ACHILLE | FINOP/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 1605183 |
| PULA, MASSIMILIANO | CEO | 5446174 |
| ROMEO, ROBERTO | DIRECTOR | 7640931 |
| ROTUNNO, ANNALISA | DIRECTOR | 7640314 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jul 2014Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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