Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Horgan is an active investment advisor representative with Janney Montgomery Scott LLC. James has been in the industry since 1988. Prior to joining Janney Montgomery Scott LLC, James was employed at MORGAN STANLEY and MURIEL SIEBERT & CO., INC.. James has a strong background in financial services, having passed several industry exams. James is registered with the Securities and Exchange Commission (SEC) and holds licenses in several states.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
NY
07/29/2024 - Present
Janney Montgomery Scott LLC (PURCHASE NY)
NY
03/31/2010 - 04/05/2024
MORGAN STANLEY (New York NY)
NJ
06/01/1999 - 05/20/2008
MURIEL SIEBERT & CO., INC. (JERSEY CITY NJ)
NJ
11/29/1985 - 06/25/1999
ANDREW PECK ASSOCIATES INC. (JERSEY CITY NJ)
IA
Issued 09/24/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/27/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/1998
Series 24 - General Securities Principal Examination
BC
Issued 05/24/1990
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/16/1986
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2011
Series 3 - National Commodity Futures Examination
BC
Issued 06/29/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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