Nicholas H. Horsfall
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.
Nicholas Harley Horsfall, who also goes by Nicholas H. Horsfall, Nicholas Horsfall, Nick Horsfall, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2018. Nicholas had worked at 7 firms and has passed the Series 65 exam.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2025 - December 31, 2025
DUO RETIREMENT PLANNING, LLC
March 15, 2024 - December 31, 2024
DUO RETIREMENT PLANNING, LLC
August 16, 2022 - February 1, 2024
ARBOR POINT ADVISORS
August 5, 2022 - February 1, 2024
SECURITIES AMERICA ADVISORS, INC.
February 4, 2021 - August 8, 2022
BROOKSTONE CAPITAL MANAGEMENT LLC
December 23, 2019 - January 4, 2021
PEAK AMERICAN INVESTMENT ADVISORS, INC.
July 25, 2018 - December 19, 2018
SECURE INVESTMENT MANAGEMENT, LLC
February 12, 2018 - July 19, 2018
FOUNDATIONS INVESTMENT ADVISORS LLC
State Registrations and Notice Filings
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Current Firm
DUO RETIREMENT PLANNING, LLC
CRD#: 330315 / SEC#:
Contact information
Red Flags
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