Joseph M. Perkins

HORIZON FINANCIAL SERVICES

Winston Salem, NC 27103

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CRD#: 4723505

Professional summary

Joseph M Perkins, who also goes by Joseph Michael Perkins, is a registered financial advisor currently at HORIZON FINANCIAL SERVICES, LLC located in Winston Salem, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Michael Perkins

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.

NEW HORIZON FINANCIAL SERVICES, INC. INVESTMENT RELATED. ADDRESS: 3880 VEST MILL RD, SUITE 100, WINSTON SALEM, NC 27103. NATURE OF BUSINESS: INSURANCE PRODUCTS AND SALES, TITLE: INSURANCE AGENT; START DATE: 04/2017; 20 HOURS A WEEK, 10 HOURS DURING TRADING HOURS. INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Perkins's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 15, 2017 - Present

HORIZON FINANCIAL SERVICES, LLC

Office #1: 3880 Vest Mill Rd. Suite 100, Winston Salem, NC 27103

RIA

CRD#: 158798

Winston Salem, NC

Past

March 16, 2015 - November 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WINSTON SALEM, NC

Past

February 3, 2004 - June 23, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HORIZON FINANCIAL SERVICES, LLC

CRD#: 158798 / SEC#: 801-113778

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

North Carolina

Registered Investment Advisory firm - (10/16/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(5/15/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/16/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HORIZON FINANCIAL SERVICES, LLC

CRD#: 158798 / SEC#: 801-113778

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

North Carolina

Registered Investment Advisory firm - (10/16/2018 Terminated)

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Contact information

Main Address

3880 Vest Mill Rd. Suite 100, Winston Salem, NC 27103

Mailing Address

Phone number

(336) 659-7060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,136
AUM (Assets Under Management)	$ 212,623,929

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Perkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Perkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

HORIZON FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/2017

Series 63

Date: 3/21/2015

SIE

Date: 11/8/2016

Series 6

Date: 3/16/2015

Current Firm

HORIZON FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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