Frederick Ludwig Horman
Professional Summary
Frederick Ludwig Horman, who also goes by Frederick Ludwig Horman III, Frederick Horman, was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 2012 - 2015. Frederick had worked at 1 firm and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Frederick Ludwig Horman Iii, Frederick Horman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
LAVAFLOW, INC. | ONTRADE INC.
Contact Information
Established
Florida since 01/11/2002Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | — |
| KEEGAN, DANIEL LAURENCE | DIRECTOR | 2756125 |
| MAKKER, SANJAY | DIRECTOR | 5018074 |
| PROCOPION, JOHN CONSTANTINE | PRESIDENT | 2760137 |
| PROCOPION, JOHN CONSTANTINE | CHIEF OPERATING OFFICER | 2760137 |
| SALIBA, RAMSEY | CFO / FINOP | 5358958 |
| SMITH, AZIBO ABDUL | VICE PRESIDENT | — |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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