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Horatiu N. Calin

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CRD#: 6918140
HC

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.

Horatiu Nicolae Calin was a registered financial professional .

Horatiu is a previously registered financial professional and started their career in finance in 2019. Horatiu had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 19, 2020 - March 21, 2022

CODE ADVISORS LLC

BD
CRD#: 153192
SAN FRANCISCO, CA
Past

July 27, 2019 - October 8, 2020

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/27/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2019
Securities Industry Essentials Examination

Current Firm

CA
CODE ADVISORS LLC
CODE ADVISORS LLC | CODE ADVISORS, LLC

CRD#: 153192 / SEC#: , 8-68511

BD
Terminated by SEC on 09/22/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CODE HOLDINGS LPMANAGING MEMBER, 100% OWNER
CHIN, PHYLLIS NYUK FAHPFO/ POO6250921
MACHTINGER, STEVEN NEILGENERAL COUNSEL, CEO1141460
PRESS, JEFFREY MITCHELLCCO2269745

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.

Company Information

CODE ADVISORS LLC

CRD#: 153192

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