Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Horn is a registered representative with Needham & Company, LLC and has been in the industry since January 31, 2013. Carolyn holds a Series 7, Series 63, Series 79TO, and SIE license and is registered in California, Illinois, Massachusetts, Minnesota, and New York. Carolyn was previously registered with JMP Securities LLC.
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.
Securities research
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
NY
10/27/2015 - Present
Needham & Company, LLC (NEW YORK NY)
NY
01/28/2013 - 10/22/2015
JMP SECURITIES LLC (NEW YORK NY)
BC
Issued 03/07/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
Not sure Carolyn Horn is the right advisor for you? Invested Better is here to help.
