Nicholas J. Horton
Professional summary
Nicholas Joseph Horton, who also goes by Nick Horton, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Horton's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 2021 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078August 7, 2019 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
March 28, 2007 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 5, 2005 - March 6, 2007
WELLS FARGO INVESTMENTS, LLC
August 18, 2005 - March 6, 2007
WELLS FARGO INVESTMENTS, 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
(7/7/2021)
(1/5/2022)
(1/5/2022)
(1/17/2024)
(7/7/2021)
(1/5/2022)
Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
