James Horst (CRD# 3080075) is an Investment Advisor Representative working at Osaic Wealth, Inc. in Spencer, IA and has over 25 years of experience in the finance industry. James Horst has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2525091
Royal Fund Management, LLC
CRD# 1249368
Insight Securities, Inc.
CRD# 6437382
Northwest Wealth Management, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Osaic Wealth, Inc. | Spencer, IA | Nov 2023 - Current | < 1 |
| Fsc Securities Corportion | Spencer, IA | Dec 2003 - Nov 2023 | 19 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1998 |
| S65 | NASAA Investment Advisors Law Examination | Feb 2000 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- IA
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Total Assets Under Management94,558MILLIONS
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Total Number of Accounts437,201ACCOUNTS
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Average Account Value$216,280
- A percentage of assets under your management
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