David J. Horin
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.
David Jay Horin, who also goes by David Jay Horan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2008. David had worked at 4 firms and has passed the SIE, Series 62 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2013 - December 15, 2014
MEDIOBANCA SECURITIES USA LLC
April 19, 2013 - October 18, 2013
KLR GROUP, LLC
April 13, 2011 - May 27, 2011
HUDSON SECURITIES,INC.
June 5, 2008 - November 15, 2012
RODMAN & RENSHAW, 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
Series 62
Date: 7/28/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
MEDIOBANCA SECURITIES USA LLC
CRD#: 143189 / SEC#: , 8-67538
Contact information
FINRA licenses (2 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 |
Red Flags
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