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Daniel Christopher Horgan

Other Names: Dan Horgan
Firm:
Raymond James & Associates, Inc.
Type: Registered Representative
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Description

Daniel Horgan a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 3,500 registered representatives nationwide. Daniel has held an industry securities registration for 25 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Daniel Christopher Horgan has not answered any questions on Financial Q&A.

Top Guides

Daniel Christopher Horgan has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Horgan Enterprises 5 years, 8 months Sep 2007 - Present
Raymond James & Associates, Inc. 7 years, 2 months Mar 2006 - Present
Rbc Dain Rauscher Inc. 4 years Mar 2002 - Mar 2006
Burkett Kear Talent Agency 28 years, 9 months Sep 1984 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

5 Customer Disputes
As of Date
10/05/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 04/20/1987
General Securities Representative Examination Series 7 03/21/1987

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions