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Avi Horowitz

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CRD#: 5255481
AH

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.

Avi Horowitz was a registered financial professional .

Avi is a previously registered financial professional and started their career in finance in 2013. Avi had worked at 2 firms and has passed the Series 28 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2015 - March 28, 2016

NFSTX, LLC

BD
CRD#: 172583
New York, NY
Past

August 21, 2013 - September 17, 2015

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 28
Date: 8/21/2013
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

NL
NFSTX, LLC
NFSTX, LLC | SMTX, LLC

CRD#: 172583 / SEC#: , 8-69512

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
4 Times Square 27th Floor, New York, NY 10036
Mailing Address
151 West 42 Street 27th Floor, New York, NY 10036
Phone number
(212) 381-6440
Established
Delaware since 07/23/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ FUND SECONDARIES, LLC100% OWNER OF NFSTX, LLC
CRANE, LINDA SALIERNOPRINCIPAL FINANCIAL OFFICER4374198
JOHNSON, LISA PATTONCHIEF COMPLIANCE OFFICER4168397
MABIN, RORY ALISONCEO5141036

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.

Company Information

NFSTX, LLC

CRD#: 172583

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