Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Horvath is a financial professional with over 25 years of experience in the financial services industry. James is currently a Registered Representative with Piper Sandler & Co., a leading investment bank and financial services firm. Previously, James held positions at Canaccord Genuity Inc., Canaccord Genuity Securities LLC, SG Cowen & Co., LLC, Aubrey G. Lanston & Co., Inc., and Dresdner Kleinwort Benson North America LLC. James has a broad range of experience in the financial services industry, including equity trading, sales, and research. James is also a licensed Series 3, 7, 24, and 63.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
1
2
NY
09/06/2017 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
10/15/2012 - 06/02/2017
CANACCORD GENUITY INC. (NEW YORK NY)
NY
03/11/2005 - 09/27/2012
CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)
NY
06/28/2000 - 12/17/2004
SG COWEN & CO., LLC (NEW YORK NY)
NY
04/24/1998 - 06/16/2000
AUBREY G. LANSTON & CO., INC. (NEW YORK NY)
NY
12/17/1996 - 04/15/1998
DRESDNER KLEINWORT BENSON NORTH AMERICA LLC (NEW YORK NY)
NY
04/02/1996 - 12/17/1996
DRESDNER SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 05/14/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/1998
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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