Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Kenneth Horn is a financial advisor with Mariva Capital Markets, LLC. Roger has been in the industry since 2013 and has experience with SMBC Nikko Securities America, Inc., NYLIFE Distributors LLC, and SG Americas Securities, LLC. Roger has the following licenses and certifications: Series 63, Series 7 and SIE. Roger is registered with the following states: California, Connecticut, Delaware, Florida, Illinois, Massachusetts, Minnesota, New Jersey, New York, and Pennsylvania. Roger's current firm, Mariva Capital Markets, LLC, is located in Miami, FL.
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.
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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2
FL
09/19/2023 - Present
Mariva Capital Markets, LLC (MIAMI FL)
NY
08/15/2017 - 06/30/2023
SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)
NY
10/07/2014 - 08/14/2017
NYLIFE DISTRIBUTORS LLC (NEW YORK NY)
NY
08/17/2011 - 09/11/2012
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
BC
Issued 08/26/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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