Jacob N. Horowitz
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.
Jacob Neil Horowitz, who also goes by Jake Neil Horowitz, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2016. Jacob had worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2018 - November 30, 2021
WINGATE WEALTH ADVISORS, INC.
July 25, 2016 - September 21, 2017
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
WINGATE WEALTH ADVISORS, INC.
CRD#: 105012 / SEC#: 801-28664
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
WINGATE WEALTH ADVISORS, INC.
CRD#: 105012 / SEC#: 801-28664
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,849 |
| AUM (Assets Under Management) | $ 1,324,958,318 |
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.
