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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Horace maintains a Subchapter S corporation, H. Riley & Associates Inc., for receiving compensation for tax purposes, dedicating minimal time. He also works seasonally at Delta Airlines providing customer service to the Baggage Department, dedicating about half his time during non-trading hours.