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Alisha Wanette Horton

Raymond James Financial Services, Inc.

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About Alisha Wanette Horton

Alisha Wanette Horton is a registered representative of Raymond James Financial Services, Inc. Alisha has been in the financial services industry since 2001. Alisha is registered in Nebraska. Alisha has passed the Series 6, 7 and 63 exams and the Securities Industry Essentials Exam. Previously Alisha was associated with FIRST NATIONAL CAPITAL MARKETS, NORTHERN LIGHTS DISTRIBUTORS, LLC, TD AMERITRADE, INC., AMERITRADE, INC., FINANCIAL NETWORK INVESTMENT CORPORATION, SECURITIES AMERICA, INC., and MUTUAL OF OMAHA INVESTOR SERVICES, INC..

Firm Information

Alisha Horton is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alisha Horton’s Registration & Firm History

NE

06/17/2015 - Present

Raymond James Financial Services, Inc. (OMAHA NE)

NE

08/15/2013 - 06/18/2015

FIRST NATIONAL CAPITAL MARKETS (OMAHA NE)

NE

12/04/2012 - 08/09/2013

NORTHERN LIGHTS DISTRIBUTORS, LLC (OMAHA NE)

NE

04/22/2006 - 07/30/2012

TD AMERITRADE, INC. (OMAHA NE)

NE

05/28/2004 - 04/22/2006

AMERITRADE, INC. (BELLEVUE NE)

CA

09/27/2002 - 02/13/2004

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

NE

03/01/2001 - 01/29/2002

SECURITIES AMERICA, INC. (LAVISTA NE)

NE

10/12/1999 - 03/31/2000

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 08/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/27/2004

Series 7 - General Securities Representative Examination

BC

Issued 10/11/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Alisha Wanette Horton. Review regulatory record here.
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