Best Investors Account Sign in

Peter Andrew Horowitz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-01
IL RA APPROVED 2022-10-24
  • TX RA
    APPROVED_RES
    Since 2022-11-01
  • IL RA
    APPROVED
    Since 2022-10-24

Branch Locations

1600 Golf Rd Ci Client Management, Rolling Meadows, IL 60008 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Chicago IL 05/2009 12/2016
Citigroup Chicago IL 12/2016 05/2018
Ameriprise Financial Services Inc Chicago IL 06/2018 01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 06/2022 Present
Unemployment Chicago IL 02/2021 06/2022
Bank Of America, N.A. Rolling Meadows IL 10/2022 Present
  • 05/2009 → 12/2016
    Wells Fargo Advisors Llc
    Chicago, IL
  • 12/2016 → 05/2018
    Citigroup
    Chicago, IL
  • 06/2018 → 01/2021
    Ameriprise Financial Services Inc
    Chicago, IL
  • 06/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Rolling Meadows, IL
  • 02/2021 → 06/2022
    Unemployment
    Chicago, IL
  • 10/2022 → Present
    Bank Of America, N.A.
    Rolling Meadows, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-19
S63 Uniform Securities Agent State Law Examination 1990-01-10
  • S65 Uniform Investment Adviser Law Examination
    1997-07-19
  • S63 Uniform Securities Agent State Law Examination
    1990-01-10

View on SEC IAPD

Other Firms

LEADING EDGE WEALTH MANAGEMENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
LPL FINANCIAL LLC
GIBBS WEALTH MANAGEMENT, LLC
FIFTH THIRD SECURITIES, INC.
PFS INVESTMENTS INC.
EDWARD JONES
TLG ADVISORS, INC.

Other Investors

ALKA G. OBEROI
Maricel R Betz
Mark Robert Phillips
Zafar Ghafoor
Jaime Bibian
Bryan C. Smith
Peter John Haberkorn
Michael Patrick McCarthy

Other Offices

LEADING EDGE WEALTH MANAGEMENT, LLC · ROLLING MEADOWS, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING MEADOWS, IL
AMERIPRISE FINANCIAL SERVICES, LLC · ROLLING MEADOWS, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING MEADOWS, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · Rolling Meadows, IL
LPL FINANCIAL LLC · ROLLING MEADOWS, IL
GIBBS WEALTH MANAGEMENT, LLC · Rolling Meadows, IL
LPL FINANCIAL LLC · ROLLING MEADOWS, IL

More in Rolling Meadows, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor