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BENJAMIN DAVID HORN
CRD#: 4204404
IA
B
MORGAN STANLEYCRD#: 149777 6805 Carnegie Boulevard
Suite 400
Charlotte, NC 28211
Suite 400
Charlotte, NC 28211
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Alabama 6/14/2022
B
Mississippi 7/17/2019
B
Arizona 3/6/2019
B
Missouri 6/1/2009
B
Arkansas 1/13/2021
B
Montana 6/29/2016
B
California 6/1/2009
B
Nebraska 4/8/2024
B
Colorado 5/25/2016
B
New Jersey 6/6/2017
B
Connecticut 10/11/2022
B
New York 6/1/2009
B
District of Columbia 8/7/2013
B
North Carolina 6/1/2009
B
Florida 6/1/2009
IA
North Carolina 6/1/2009
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 9/13/2022
B
Oklahoma 7/17/2019
B
Illinois 6/1/2009
B
Oregon 7/17/2019
B
Indiana 9/13/2017
B
Pennsylvania 6/1/2009
B
Kansas 10/11/2019
B
South Carolina 6/1/2009
B
Kentucky 7/17/2019
B
Tennessee 6/1/2009
B
Louisiana 7/17/2019
B
Texas 6/1/2009
B
Maine 10/2/2023
IA
Texas 6/1/2009
B
Maryland 9/3/2009
B
Virginia 6/1/2009
B
Massachusetts 7/29/2020
B
West Virginia 7/17/2019
B
Michigan 6/1/2009
B
Wisconsin 8/13/2019
B
Minnesota 4/9/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | CHARLOTTE, NC | |
B | 04/02/2007 - 06/01/2009 | CHARLOTTE, NC | |
IA | 02/27/2002 - 04/02/2007 | CHARLOTTE, NC | |
B | 08/13/2001 - 04/02/2007 | CHARLOTTE, NC |
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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.