James Horn, financial advisor Amherst NY
73 score

James Horn

CRD Number: 5495146
Current Firm: Financial Engines Advisors LLC

James Horn (CRD# 5495146) is an Investment Advisor Representative working at Financial Engines Advisors LLC in Amherst, NY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Financial Engines Advisors LLC Amherst, NY Nov 2016 - Current 1
Tmfs Advisors, LLC Syracuse, NY Nov 2015 - Nov 2016 1
Tmfs-national Iii, LLC Buffalo, NY May 2016 - Jun 2016 < 1
Ameriprise Financial Services Inc. Rochester, NY Aug 2015 - Oct 2015 < 1
Tiaa-cref Individual & Institutional Services, LLC Rochester, NY Jan 2013 - Aug 2015 2
Tiaa Rochester, NY Jan 2013 - Aug 2015 2
M And T Securities Buffalo, NY Feb 2011 - Aug 2015 4
Northwestern Mutual Investment Services, LLC Fairport, NY Sep 2008 - Feb 2011 2
Northwestern Mutual Life Insurance Company Milwaukee, WI Feb 2008 - Feb 2011 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2009
S66 NASAA Uniform Combined State Law Examination Nov 2012
Disclosure Information

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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James R. Horn
Phone Number: 408-498-6000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    138,000
    MILLIONS
  • Total Number of Accounts
    1,166,541
    ACCOUNTS
  • Average Account Value
    $118,298
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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