Steven E. Horne
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.
Steven Eugene Horne, who also goes by Steven E Horne Mr, Steven E Horne, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 5 firms and has passed the Series 66, Series 63, SIE, 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
September 28, 2021 - September 24, 2025
FISHER INVESTMENTS
November 23, 2020 - September 22, 2021
MORGAN STANLEY
November 19, 2020 - September 22, 2021
MORGAN STANLEY
August 21, 2020 - September 3, 2020
E*TRADE SECURITIES LLC
April 27, 2018 - July 10, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
April 9, 2018 - July 10, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 22, 2010 - August 8, 2017
T. ROWE PRICE ADVISORY SERVICES, INC.
December 4, 2008 - August 8, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
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