Kate Horton
Professional summary
Kate Horton, who also goes by Kate F Horton, Kate F Horton Sears, is a registered financial professional currently at MAN INVESTMENTS INC. located in New York, New York.
Kate is registered as a RR (Registered Representative) and started their career in finance in 2015. Kate has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kate Horton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2024 - Present
MAN INVESTMENTS INC.
Office #1: 1345 Avenue Of The Americas 21st Floor, New York, NY 10105April 7, 2023 - March 11, 2024
TCG CAPITAL MARKETS L.L.C.
October 19, 2015 - October 7, 2021
BARCLAYS CAPITAL 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
(3/14/2024)
Exams
Series 7TO
Date: 10/3/2022
General Securities Representative ExaminationFINRA
Current Firm
MAN INVESTMENTS INC.
CRD#: 15770 / SEC#: , 8-32575
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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