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Current Employers
Horizons Sustainable Financial Services, Inc.

535 Cerrillos Road Suite A2, Santa Fe, NM 87501 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2025-01-14
TX RA APPROVED 2025-01-13
  • NM RA
    APPROVED
    Since 2025-01-14
  • TX RA
    APPROVED
    Since 2025-01-13

Branch Locations

535 Cerrillos Road Suite A2, Santa Fe, NM 87501 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Horizons Sustainable Financial Services, Inc. Santa Fe NM 01/2013 Present
Previous Registrations
Other Businesses

1) BERRETT-KOEHLER PUBLISHERS, INC.(NON-INVESTMENT RELATED), 235 MONTGOMERY ST, STE 650, SAN FRANCISCO, CA 94104; PUBLISHERS; MANUSCRIPT REVIEW; START DATE: 1/31/2013; 10 HRS/YEAR, 0 HRS DURING SECURITIES TRADING HRS; REVIEW MANUSCRIPS ON TOPICS IN WHICH I AM EXPERT, SUCH AS BUSINESS ETHICS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-30
S63 Uniform Securities Agent State Law Examination 2000-12-05
  • S65 Uniform Investment Adviser Law Examination
    2002-05-30
  • S63 Uniform Securities Agent State Law Examination
    2000-12-05
Designations

View on SEC IAPD

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