Individual Firm
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STEVEN FRANCIS HORVATH
VAT HORVATH
CRD#: 4172027
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 200 SCHULZ DRIVE
SUITE 125
RED BANK, NJ 07701
SUITE 125
RED BANK, NJ 07701
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9/8/2017
Employment Separation After Allegations
7/18/2014
Customer Dispute
Closed-No Action
4/17/2014
Customer Dispute
Denied
State Registrations
B
California 7/1/2021
B
New Jersey 10/13/2017
B
Colorado 12/19/2017
IA
New Jersey 10/13/2017
B
Connecticut 10/16/2017
B
New York 10/16/2017
B
Delaware 10/23/2023
B
North Carolina 10/20/2017
B
Florida 11/29/2017
B
Pennsylvania 10/23/2017
B
Georgia 7/6/2021
B
South Carolina 7/21/2022
B
Illinois 7/15/2021
B
Texas 11/6/2017
B
Louisiana 7/19/2021
B
Virginia 7/22/2021
B
Maryland 7/20/2021
B
Washington 3/24/2022
B
Massachusetts 9/22/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/13/2017
B
Registered with this firm since 9/20/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2008 - 09/08/2017 | EDISON, NJ | |
B | 10/01/2008 - 09/08/2017 | EDISON, NJ | |
IA | 02/02/2007 - 10/07/2008 | PISCATAWAY, NJ | |
B | 05/31/2000 - 10/07/2008 | PISCATAWAY, NJ | |
B | 05/31/2000 - 07/09/2007 | BROOKLYN, NY |
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B
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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.