John Horseman is a registered investment advisor, based in Folsom, CA, with 41 years of industry experience.
Location
340 Palladio Pkwy., Suite 501, Folsom, CA, 95630
Get directionsHistory
Regulatory History (4)
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Customer Dispute
April 2019Denied
Customer Dispute
April 2013Closed-No Action
Customer Dispute
April 2005Settled
Customer Dispute
March 2005Settled
Other Business Activities
John is a trustee for the Phoenix Art Museum and President of the Board of Commissioners for the St. Louis Art Museum, providing advice and guidance. These activities are not investment-related and take a few hours per week in total.
Employment History
Current Registrations
Allworth Financial, L.P.
December 2021 - Present · 4 yrs 5 mos
Aw SecuritiesBroker
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
LPL Financial LLC
November 2017 - December 2021 · 4 yrs 1 mo
LPL Financial LLCBroker
November 2017 - December 2021 · 4 yrs 1 mo
National Planning Corporation ("npc of America" in Fl & Ny)
May 2007 - December 2017 · 10 yrs 7 mos
National Planning CorporationBroker
May 2007 - November 2017 · 10 yrs 6 mos
Associated Planners Investment Advisory INC
February 2003 - February 2007 · 4 yrs
Associated Securities CORP.
February 2003 - May 2007 · 4 yrs 3 mos
Associated Securities CORP.Broker
August 2002 - May 2007 · 4 yrs 9 mos
Prudential Securities Incorporated
January 2002 - August 2002 · 7 mos
Prudential Securities IncorporatedBroker
February 2000 - August 2002 · 2 yrs 6 mos
Painewebber IncorporatedBroker
October 1994 - February 2000 · 5 yrs 4 mos
John Hancock Distributors, INC.Broker
October 1992 - October 1994 · 2 yrs
John Hancock Mutual Life Insurance CompanyBroker
October 1992 - October 1994 · 2 yrs
Metlife Securities INC.Broker
May 1992 - October 1992 · 5 mos
Metropolitan Life Insurance CompanyBroker
May 1992 - October 1992 · 5 mos
Ventana Financial CorporationBroker
July 1986 - October 1986 · 3 mos
Boettcher & Company, INC.Broker
April 1985 - October 1985 · 6 mos
Contisecurities, INC.Broker
December 1983 - October 1984 · 10 mos
Prudential-Bache Securities INC.Broker
May 1982 - January 1984 · 1 yr 8 mos
E. F. Hutton & Company INCBroker
March 1982 - May 1982 · 2 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1980 - March 1982 · 1 yr 6 mos
E. F. Hutton & Company INCBroker
February 1979 - September 1980 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - February 1979 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
May 1978 - September 1978 · 4 mos
State Registrations31 states
ALARAZCAFLGAIAILKSKYLAMDMIMNMOMSMTNCNENJNVNYOHOKORPASCTXVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.