Philip J. Horowitz
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.
Philip Jay Horowitz, who also goes by Philip J Horowitz, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1981. Philip had worked at 11 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1999 - March 28, 2000
COUCH & COMPANY, INCORPORATED
July 22, 1997 - July 20, 1998
NEXT ADVISORS INC.
October 29, 1996 - June 1, 1999
PRIMEX
June 5, 1996 - July 25, 1996
PRINCETON EQUITY SECURITIES, INC.
March 14, 1994 - October 17, 1995
BUTTONWOOD SECURITIES, INC.
November 5, 1991 - June 23, 1993
THE INVESTMENT CENTER, INC.
April 2, 1990 - November 1, 1991
JW GENESIS CLEARING CORP.
March 22, 1988 - April 4, 1990
RAYMOND JAMES & ASSOCIATES, INC.
August 16, 1982 - April 29, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
March 25, 1982 - October 19, 1982
MORGAN STANLEY DW INC.
November 2, 1981 - March 2, 1982
THOMSON MCKINNON SECURITIES 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
Current Firm
COUCH & COMPANY, INCORPORATED
CRD#: 18433 / SEC#: , 8-36429
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUCH & COMPANY.COM HOLDING CORP. | DIRECT OWNER | |
| COUCH, THOMAS MCDONALD JR | PRESIDENT, FINOP, DIRECTOR | 1271694 |
| RADICONE, ANTHONY JOE | COMMON SHAREHOLDER 20% |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
