James A. Horn

CAPITAL INVESTMENT ADVISORS

Tampa, FL 33607

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CRD#: 6078379

Professional summary

James Anderson Horn III, who also goes by James III Horn, James Horn III, James Anderson Horn Iii, James Anderson Horn, James Horn, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORS, LLC located in Tampa, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. James has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Iii Horn | James Horn Iii | James Anderson Horn Iii | James Anderson Horn | James Horn

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.

Independent contract work doing VBA programming; Not investment related; Started 4/2024; Approximate number of hours per month: Up to 20 hours per week; Number of hours during trading securities hours: 0; Duties: Programming projects, specifically working with Excel and VBA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anderson Horn III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 26, 2023 - Present

CAPITAL INVESTMENT ADVISORS, LLC

Office #1: 2502 N. Rocky Point Drive Suite 180, Tampa, FL 33607

RIA

CRD#: 158055

Tampa, FL

Past

November 19, 2021 - October 11, 2023

FISHER INVESTMENTS

RIA

CRD#: 107342

Tampa, FL

Past

April 30, 2020 - August 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TAMPA, FL

Past

April 28, 2020 - August 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TAMPA, FL

Past

October 16, 2019 - December 23, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

TAMPA, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/16/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/8/2019

Securities Industry Essentials Examination

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

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Contact information

Main Address

10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328

Mailing Address

Phone number

(404) 531-0018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL INVESTMENT ADVISORS LLC (8/14/2025)

Regulatory assets under management

Total Number of Accounts	13,529
AUM (Assets Under Management)	$ 6,298,397,792

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2025	Cover Page	Report
10/15/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James A. Horn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anderson Horn III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2020

Series 7TO

Date: 10/16/2019

SIE

Date: 6/8/2019

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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