Fred B. Horner
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.
Fred Bernard Horner was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1976. Fred had worked at 16 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1997 - May 6, 1998
OPPENHEIMER & CO. INC.
March 8, 1996 - August 29, 1996
GRANITE CAPITAL MANAGEMENT CORP.
February 23, 1994 - April 1, 1994
CHAPDELAINE CORPORATE SECURITIES & CO
November 30, 1993 - January 18, 1994
ELECTRONIC TRADING SYSTEMS, L.P.
March 10, 1993 - November 5, 1993
GMS GROUP
May 26, 1992 - October 13, 1992
AEGIS SECURITIES CORPORATION
March 17, 1992 - May 26, 1992
M.G.S.I. SECURITIES, INC.
June 4, 1991 - March 4, 1992
MMAR GROUP, INC.
April 8, 1991 - May 13, 1991
KMU SECURITIES CORPORATION
July 25, 1987 - January 22, 1991
F.B. HORNER & ASSOCIATES, INC.
October 19, 1984 - June 19, 1985
MCG PORTFOLIO MANAGEMENT CORP.
February 24, 1983 - June 8, 1984
PRESCOTT, BALL & TURBEN, INC.
January 21, 1981 - March 30, 1983
MCG PORTFOLIO MANAGEMENT CORP.
December 2, 1980 - January 10, 1981
SWINK & COMPANY, INC.
September 19, 1979 - December 17, 1980
MARCUS, STOWELL & BEYE, INC.
June 19, 1979 - October 1, 1979
MCG PORTFOLIO MANAGEMENT CORP.
March 20, 1979 - April 1, 1979
P. S. WINSTON & CO., INC.
June 28, 1978 - July 20, 1979
LEGEL, BRASWELL SECURITIES CORP.
October 7, 1977 - January 19, 1978
MARCUS, STOWELL & BEYE, INC.
June 20, 1977 - September 27, 1977
LEGEL, BRASWELL SECURITIES CORP.
August 2, 1976 - February 7, 1977
MARCUS, STOWELL & BEYE, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 1
Date: 7/23/1976
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
