Robert Horowitz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (12)

Series 52TOSIESeries 55Series 7Series 9Series 10Series 12Series 4Series 53Series 24Series 65Series 63

Registered states (15)

Alabama · Arkansas · California · Colorado · Florida · Georgia · Illinois · Mississippi · Missouri · New York · North Carolina · Tennessee · Texas · Washington · Wisconsin

Years in the industry (source record)

29

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Fidelity Brokerage Services LLC

Firm CRD

7784

SEC number

Not yet retrieved from the source record

Assets under management

Not yet retrieved from the source record

Website

Not yet retrieved from the source record

Phone

Not yet retrieved from the source record

Firm location

Not yet retrieved from the source record

Employment history (28)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Collierville, TN · IA capacity
  start not retrieved → present
• Fidelity Brokerage Services LLCCurrent

  Germantown, TN · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  Germantown, TN · IA capacity
  Sep 16, 2021 → Mar 31, 2025
• Sorrento Pacific Financial, LLC

  Springfield, MA · IA capacity
  Aug 26, 2019 → Oct 1, 2020
• Sorrento Pacific Financial, LLC

  Springfield, MA · BC capacity
  Feb 19, 2019 → Oct 1, 2020
• Cuso Financial Services, L.P.

  Springfeild, MA · IA capacity
  Aug 26, 2019 → Sep 25, 2020
• Cuso Financial Services, L.P.

  Springfield, MA · BC capacity
  Feb 19, 2019 → Sep 25, 2020
• J.P. Morgan Securities LLC

  Staten Island, NY · IA capacity
  Feb 11, 2013 → May 3, 2019
• J.P. Morgan Securities LLC

  Staten Island, NY · BC capacity
  Feb 11, 2013 → May 3, 2019
• Citigroup Global Markets Inc.

  Brooklyn, NY · IA capacity
  May 14, 2012 → Feb 25, 2013
• Citigroup Global Markets Inc.

  Brooklyn, NY · BC capacity
  May 14, 2012 → Feb 25, 2013
• Lpl Financial LLC

  Staten Island, NY · IA capacity
  Feb 17, 2010 → May 17, 2012
• Lpl Financial LLC

  Staten Island, NY · BC capacity
  Feb 10, 2010 → May 17, 2012
• Mml Investors Services, Inc.

  Bridgewater, NJ · BC capacity
  Jul 27, 2009 → Dec 21, 2009
• Bb&t Investment Services, Inc.

  Fairfax, VA · BC capacity
  Jan 27, 2009 → Jul 16, 2009
• Bb&t Investment Services, Inc.

  Fairfax, VA · IA capacity
  Jan 26, 2009 → Jul 16, 2009
• Citicorp Investment Services

  Washington, DC · IA capacity
  Feb 28, 2007 → May 29, 2007
• Citicorp Investment Services

  Washington, DC · BC capacity
  Feb 26, 2007 → May 29, 2007
• United Brokerage Services Inc

  Fairfax, VA · IA capacity
  Apr 18, 2005 → Feb 23, 2007
• United Brokerage Services, Inc

  Fairfax, VA · BC capacity
  Apr 18, 2005 → Feb 23, 2007
• Summit Financial Resources Inc

  Parsippany, NJ · IA capacity
  Jun 6, 2002 → Apr 15, 2005
• Summit Equities Inc

  Parsippany, NJ · IA capacity
  May 23, 2002 → Apr 15, 2005
• Summit Equities, Inc.

  Parsippany, NJ · BC capacity
  Mar 29, 2000 → Apr 15, 2005
• Ndb Capital Markets Corporation

  New York, NY · BC capacity
  Feb 25, 1999 → Mar 29, 2000
• Cantor Fitzgerald Securities

  New York, NY · BC capacity
  Sep 18, 1998 → Feb 16, 1999
• First Union Brokerage Services, Inc.

  Charlotte, NC · BC capacity
  Mar 18, 1998 → Sep 16, 1998
• J.B. Oxford & Company

  Sherman Oaks, CA · BC capacity
  Mar 10, 1998 → Mar 27, 1998
• Prudential Securities Incorporated

  New York, NY · BC capacity
  Oct 12, 1995 → Mar 6, 1998

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.