Nicholas Drizos has been Chief Compliance Officer of Horizon Wealth Advisors since April 2013, is not listed as a control person, but directly owns under 5% of the firm.
Horizon Wealth Advisors, LLC is a firm with $235M under management, 582 clients and 6 advisers across 3 offices, as of its March 2026 filing.
Nick Drizos “The Elder” is Chief Compliance Officer of Horizon Wealth Advisors. He began working in the securities industry in 1967 with Singer Dean & Scribner in Pittsburgh, and later founded Wolfe & Drizos, Inc. In 1984 he became a member of the New York Stock Exchange, and in 1987 he founded Drizos Investments, Inc., based in Morristown, NJ.
No adviser firm registrations are on Nicholas Drizos’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 53 | Municipal Securities Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 12 August 1997 |
| Series 41 | NYSE Allied Member Examination | 13 January 1984 |
| Series 24 | General Securities Principal Examination | 12 August 1983 |
- Name
- Municipal Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- NYSE Allied Member Examination
- Name
- General Securities Principal Examination
- Full name
- Nicholas Gust Drizos
- CRD
- 500632
- Firm
- Horizon Wealth Advisors · CRD 148338
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- horizonwealthadvisors.com
Where does Nicholas Drizos work?
Nicholas Drizos has been Chief Compliance Officer of Horizon Wealth Advisors, LLC since April 2013.
Does Nicholas Drizos have a current investment-adviser registration?
Nicholas Drizos has no current investment-adviser or broker registration.
What exams has Nicholas Drizos passed?
Nicholas Drizos has passed 6 licensing exams: the Series 24, Series 41, Series 63, Series 53, Series 99TO and Series 79TO. The earliest, the Series 24, was passed in August 1983. FINRA credited Nicholas Drizos with the SIE, which began in October 2018.
Is Nicholas Drizos registered with FINRA?
No. Nicholas Drizos has no current broker registration.
How can I verify Nicholas Drizos’ record?
Search CRD 500632 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Drizos’ full registration record.