Thomas I. Horen
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.
Thomas Ira Horen was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7, PC and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2014 - March 20, 2015
VANGUARD MARKETING CORPORATION
January 17, 2007 - January 4, 2012
GBS FINANCIAL CORP.
June 30, 1999 - January 3, 2007
FIRST WALL STREET CORP.
October 9, 1996 - May 13, 1999
SUTRO & CO. INCORPORATED
August 1, 1991 - October 9, 1996
LPL FINANCIAL LLC
November 25, 1985 - August 2, 1991
MASON, HUNT & CO., INC.
February 24, 1978 - December 5, 1985
MORGAN STANLEY DW INC.
October 27, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 20, 1974 - November 18, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 11/6/1997
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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