Jason A. Horowitz
Professional summary
Jason Aaron Horowitz, who also goes by Jason Horowitz, Jay Horowitz, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in San Francisco, California.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2016. Jason has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason Aaron Horowitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2016 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: Four Embarcadero Center Suite 3120, San Francisco, CA 94111State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2022)
(4/25/2016)
Exams
FINRA
Current Firm
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
Red Flags
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