Individual Firm
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LANCE AVERY HORTON
lance A horton
CRD#: 2260181
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 410 S Rampart Blvd
Suite 390
Las Vegas, NV 89145
Suite 390
Las Vegas, NV 89145
View By:
3/22/2007
Customer Dispute
Denied
State Registrations
B
Alabama 5/25/2023
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Nevada 5/26/2023
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Alaska 5/25/2023
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Nevada 5/26/2023
B
Arizona 5/25/2023
B
New Hampshire 5/25/2023
B
Arkansas 5/25/2023
B
New Jersey 5/25/2023
B
California 5/25/2023
B
New Mexico 5/25/2023
B
Colorado 5/25/2023
B
New York 5/25/2023
B
Connecticut 5/25/2023
B
North Carolina 5/26/2023
B
Delaware 6/24/2024
B
North Dakota 6/28/2024
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District of Columbia 6/28/2024
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Ohio 5/26/2023
B
Florida 5/25/2023
B
Oklahoma 5/25/2023
B
Georgia 5/25/2023
B
Oregon 5/25/2023
B
Hawaii 5/25/2023
B
Pennsylvania 5/25/2023
B
Idaho 5/25/2023
B
Puerto Rico 6/28/2024
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Illinois 5/25/2023
B
Rhode Island 5/25/2023
B
Indiana 5/25/2023
B
South Carolina 5/25/2023
B
Iowa 5/25/2023
B
South Dakota 6/28/2024
B
Kansas 5/25/2023
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Tennessee 1/10/2024
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Kentucky 6/28/2024
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Texas 5/25/2023
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Louisiana 5/25/2023
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Texas 5/23/2024
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Maine 6/28/2024
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Utah 5/25/2023
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Maryland 5/25/2023
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Vermont 5/25/2023
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Massachusetts 5/25/2023
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Virgin Islands 6/28/2024
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Michigan 5/25/2023
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Virginia 5/25/2023
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Minnesota 5/25/2023
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Washington 5/25/2023
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Mississippi 6/28/2024
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West Virginia 6/21/2024
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Missouri 5/25/2023
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Wisconsin 5/25/2023
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Montana 5/25/2023
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Wyoming 5/25/2023
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Nebraska 5/31/2023
SRO Registrations
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Registered with this firm since 5/26/2023
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Registered with this firm since 5/4/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 04/18/2023 | Las Vegas, NV | |
B | 06/01/2009 - 04/18/2023 | Las Vegas, NV | |
IA | 08/30/2007 - 06/01/2009 | BAKERSFIELD, CA | |
B | 08/30/2007 - 06/01/2009 | BAKERSFIELD, CA | |
IA | 07/08/1997 - 09/06/2007 | BAKERSFIELD, CA | |
B | 07/27/1994 - 09/06/2007 | BAKERSFIELD, CA | |
B | 08/24/1992 - 07/28/1994 | PURCHASE, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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