Loren D. Horst
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.
Loren Dean Horst, who also goes by Loren Horst, was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 2013. Loren had worked at 2 firms and has passed the Series 63, SIE 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
February 20, 2014 - June 18, 2015
LEGEND EQUITIES CORPORATION
March 11, 2013 - February 14, 2014
HORACE MANN INVESTORS, INC.
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
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
