James Horn has been President and Chief Compliance Officer of QFC Advisory since January 2022, is a control person of the firm and directly owns under 5% of it.
QFC Advisory LLC is a Maryville, TN firm with $129M under management, 211 clients and 2 advisers in one office, as of its June 2026 filing.
- Quality Financial ConceptsCurrent– present · 15 yearsMaryville, TN · Adviser representative · Firm CRD 118886
Investment adviser representative registrations
James Horn is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from August 2018; the most recent is Texas, in June 2026.
- New YorkSince 3 June 2026
- North CarolinaSince 26 November 2025
- TennesseeSince 2 June 2026
- TexasResidentSince 10 June 2026
- VirginiaSince 16 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 14 June 1993 |
| Series 7 | General Securities Representative Examination | 6 April 1992 |
| Series 22 | Direct Participation Programs Representative Examination | 3 December 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 August 1987 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 August 1987 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Douglas Horn
- CRD
- 1721412
- Firm
- QFC Advisory · CRD 118886
- Role
- President and Chief Compliance Officer
- Office
- 115 WEST BROADWAY AVENUE, Maryville, TN 37801-4703
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Horn work?
James Horn has been President and Chief Compliance Officer of QFC Advisory LLC since January 2022, and is a control person of the firm.
Is James Horn a financial advisor?
Yes. James Horn has a current investment-adviser registration in New York, North Carolina, Tennessee, Texas and Virginia, through QFC Advisory since January 2011.
How many years of experience does James Horn have?
James Horn has 39 years in the financial industry, since August 1987, across 1 adviser firm.
What exams has James Horn passed?
James Horn has passed 6 licensing exams: the Series 63, Series 6, Series 22, Series 7, Series 24 and Series 99TO. The earliest, the Series 63, was passed in August 1987. FINRA credited James Horn with the SIE, which began in October 2018.
Where is James Horn based?
James Horn’s registered office is in Maryville, TN.
Is James Horn registered with FINRA?
Yes. James Horn has a current broker registration, under CRD 1721412.
Source: FINRA BrokerCheck
How can I verify James Horn’s record?
Search CRD 1721412 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Horn’s full registration record.