Frederick L. Horman
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.
Frederick Ludwig Horman, who also goes by Frederick Ludwig Horman III, Frederick Horman, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2012. Frederick had worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2012 - May 7, 2015
LAVAFLOW, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LAVAFLOW, INC.
CRD#: 120444 / SEC#: , 8-65299
Contact information
Documents
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 | 9 |
Red Flags
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