Shawn E. Rumsey

HORIZON INVESTMENTS LLC

Charlotte, NC 28277

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CRD#: 6514356

Professional summary

Shawn Eric Rumsey, who also goes by Shawn Rumsey, is a registered financial advisor currently at HORIZON INVESTMENTS LLC located in Charlotte, North Carolina and QUASAR DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Shawn has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shawn Rumsey

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.

1.) Horizon Investments; Charlotte, NC; Investment related; Started 04/01/2019; Manager and Wholesaler; Director, Internal Distribution; manager for internal sales team and hold dual responsibilities to provide internal sales support to our west coast external wholesaler; 160 hours per month with 0 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Eric Rumsey'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

July 9, 2019 - Present

HORIZON INVESTMENTS LLC

Office #1: 6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277

RIA

CRD#: 109552

Charlotte, NC

Current

April 22, 2019 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 6210 Ardrey Kell Road Suite 300, Charlotte, NC 28277

CRD#: 103848

Charlotte, NC

Past

March 6, 2017 - March 26, 2019

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300

Charlotte, NC

Past

October 1, 2015 - March 6, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

CHARLOTTE, NC

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".

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(1/2/2025)

California
(1/2/2020)

Hawaii
(1/12/2021)

Idaho
(1/2/2025)

Montana
(1/2/2025)

Nevada
(1/2/2020)

North Carolina
(4/22/2019)

IAR

North Carolina
(7/9/2019)

Oregon
(1/2/2025)

South Carolina
(6/23/2022)

Washington
(1/2/2025)

Wyoming
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/24/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/1/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

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Contact information

Main Address

6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277

Mailing Address

Phone number

(704) 544-2399

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

HORIZON FORM ADV 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,481
AUM (Assets Under Management)	$ 5,357,028,030

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

Shawn E. Rumsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Eric Rumsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

BRIGHTHOUSE SECURITIES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

HORIZON INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2019

Series 63

Date: 8/21/2015

Series 7TO

Date: 6/24/2020

SIE

Date: 10/1/2018

Series 6

Date: 10/1/2015

FINRA

Current Firm

HORIZON INVESTMENTS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON INVESTMENTS LLC

TRUST BUT VERIFY

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