JW
James N. Wolfe
HORIZON INVESTMENTS LLC
Charlotte, NC 28277
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CRD#: 5090609
JW
Professional summary
James N Wolfe, who also goes by Nick Wolfe, James Nicholas Wolfe, is a registered financial advisor currently at HORIZON INVESTMENTS LLC located in Charlotte, North Carolina and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Wolfe | James Nicholas Wolfe
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.
1) Horizon Investments LLC; Investment Related; Winterset, IA; Began 02/2022; Investment Advisor; Regional Director; Educate advisors on investment strategies offered at Horizon; 200 hours per month with 33 during trading hours 2) Primerica; Non-Investment related; Duluth, GA; Began 01/2019; 0 hours per month with 0 during trading hours 3) Beauty Amidst the Ashes; Non-Investment related; Newell, IA; Began 11/2019; Adoption Non-Profit; Board Member; Assist with the planning of annual adoption conference and overall direction of the adoption related organization; 2 hours per month with 0 during trading hours 4) Wolfepack Enterprises LLC; Investment Related; Purchase/Own Physical Real Estate; Winterset, IA; 5/28/2025; CEO/President; Invest into physical real estate with other potential partners. Potentially perform and/or hire out any maintenance needing done to the properties; 4 Hrs Per Month
CRS (Client Relationship Summary) - RIA
Click below to view James N Wolfe's 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®
NoneExperience
Current
March 7, 2022 - Present
HORIZON INVESTMENTS LLC
Office #1: 6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277RIA
CRD#: 109552
Charlotte, NC
Current
April 5, 2022 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 103848
Portland, ME
Past
January 17, 2019 - February 23, 2022
SAMMONS FINANCIAL NETWORK, LLC
BD
CRD#: 158538
WEST DES MOINES, IA
Past
November 14, 2016 - January 8, 2019
PFS INVESTMENTS INC.
RIA
CRD#: 10111
ALTOONA, IA
Past
January 21, 2010 - January 8, 2019
PFS INVESTMENTS INC.
BD
CRD#: 10111
ALTOONA, IA
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".
HI
HORIZON INVESTMENTS LLC
HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC
CRD#: 109552 / SEC#: 801-57316
RIA
Registered Investment Advisory firm - (2/24/2000 Approved)South Carolina
Registered Investment Advisory firm - (12/10/2003 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(4/5/2022)
IAR
Iowa(3/7/2022)
RR
Iowa(4/5/2022)
RR
Kansas(4/5/2022)
RR
Minnesota(1/2/2024)
RR
Missouri(4/5/2022)
RR
Nebraska(4/5/2022)
RR
North Carolina(4/5/2022)
RR
North Dakota(1/2/2024)
RR
South Dakota(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/6/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HI
HORIZON INVESTMENTS LLC
HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC
CRD#: 109552 / SEC#: 801-57316
RIA
Registered Investment Advisory firm - (2/24/2000 Approved)South Carolina
Registered Investment Advisory firm - (12/10/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277
Mailing Address
Phone number
(704) 544-2399
Established
Firm type
Fiscal year end
# of Employees
74
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,481 |
| AUM (Assets Under Management) | $ 5,357,028,030 |
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.
