Joshua A. Mcwhorter
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.
Joshua Alan Mcwhorter, who also goes by Josh A Mcwhorter, Josh Alan Mcwhorter Mr., was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2004. Joshua had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - September 3, 2013
RESOURCE HORIZONS GROUP LLC
August 20, 2010 - June 10, 2011
ONEAMERICA SECURITIES, INC.
March 6, 2009 - August 23, 2010
TRIAD ADVISORS LLC
November 7, 2006 - March 12, 2009
INVEST FINANCIAL CORPORATION
June 15, 2004 - October 30, 2006
MML INVESTORS SERVICES, 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
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
