Shelly Ann Horwitz

Current Employers

Employment History

• 04/2016 → 03/2018
  Kestra Financial Services, Inc.
  Austin, TX
• 04/2018 → Present
  Pensionmark Financial Group, Llc
  Santa Barbara, CA
• 12/2018 → Present
  Pensionmark Securities, Llc
  Santa Barbara, CA
• 10/2025 → Present
  World Investments, Inc.
  Alpharetta, GA

Previous Registrations

• 2016-05-05 → 2018-04-02
  Kestra Advisory Services, Llc
  Austin, TX
  Washington, DC
• 2011-06-21 → 2016-07-11
  Kestra Investment Services, Llc
  Washington, DC
  Alpharetta, GA
• 2010-08-25 → 2011-06-10
  Lockton Investment Advisors, Llc
  Overland Park, KS
• 2005-02-14 → 2010-07-23
  Principal Securities, Inc.
  Bethesda, MD
  Des Moines, IA
  Bethesda, MD
  Bethesda, MD

Other Businesses

(1)Defined Contribution Institutional Investment Association (DCIIA); Investment Related; 2025 M Street, Suite 800 Washington, DC 20036;RIA Advisory Council; 1/1/2020; attending in-person meetings three times per year that coincides with National DCIIA meetings and events. Participation in conference calls, surveys and other opinion-based activities. 4 hours per month; 4 hours during trading hours (2) The 401k Advisor Network, LLC; Investment Related; 100 North Point Center East, Suite 125, Alpharetta, GA 30022; LLC; 3/18/2024; 5 hours per month; 5 hours per trading hours; Legal entity that receives compensation and processes W-2s and benefits for employees as management company only. This entity does not hold itself out the public.

Exams

• S66 Uniform Combined State Law Examination
  2005-02-12
• S63 Uniform Securities Agent State Law Examination
  2000-12-29

Other Names

• Shelly Ann Howard
• Shelly Howard Horwitz