AdFi
JE

Joseph E Horton

Investment Adviser Representative at FINANCIAL & TAX ARCHITECTS, LLC

Plano, TXCRD #3161256Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
4 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/24/2022
Series 7TO
General Securities Representative Examination
Passed 2/11/2022
SIE
Securities Industry Essentials Examination
Passed 8/10/2020

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $2,000,0001.95%
Next $3,000,0000.90%
Next $5,000,0000.50%
Next $5,000,000 and on0.30%
Source

FINANCIAL & TAX Architects, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
2/11/20227/11/2024FRISCO, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph E Horton has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Joseph E Horton - Financial Advisor in Plano, TX | AdvisorFinder