Michael R. Horton
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.
Michael Ryan Horton was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2019. Michael had worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2019 - August 20, 2024
D.E. SHAW SECURITIES, L.L.C.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 3/24/2019
General Securities Representative ExaminationCurrent Firm
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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