Robert J. Horowitz
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.
Robert J Horowitz, who also goes by Robert Joseph Horowitz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - January 2, 2013
ALLIED BEACON PARTNERS, INC.
April 26, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
January 2, 2008 - December 22, 2009
AUGMENT SECURITIES INC.
July 13, 2007 - November 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2007 - March 15, 2007
CHICAGO INVESTMENT GROUP, 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
