Shawn Eric Rumsey

Employer firm

Horizon Investments LLC CRD 109552

$8.47B regulatory AUM 10 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• CONSULT FOR OTHER FINANCIAL PROFESSIONALS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 03/2017
  Metlife Securities Inc
  Charlotte, NC
• 03/2017 → 03/2019
  Brighthouse Securities, Llc
  Charlotte, NC
• 04/2019 → Present
  Horizon Investments Llc
  Charlotte, NC
• 04/2019 → Present
  Quasar Distributors Llc
  Milwaukee, WI

Other Businesses

1.) Horizon Investments; Charlotte, NC; Investment related; Started 04/01/2019; Manager and Wholesaler; Director, Internal Distribution; manager for internal sales team and hold dual responsibilities to provide internal sales support to our west coast external wholesaler; 160 hours per month with 0 hours during securities trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-07-09
• S63 Uniform Securities Agent State Law Examination
  2015-08-21

Other Names

• Shawn Rumsey