Director of Compliance

Lyn Horowitz

About Lyn

Lyn’s objective is to ensure the firm, its advisors, and staff are compliant with our internal policies and procedures and all regulatory and state requirements.  She develops processes to maintain up-to-date compliance standard practices and remains in contact with our affiliated advisors on a daily basisLyn remains updated regarding the formality of all policies and regulations and how they are practically applied to everyday advisor usage in an ever-changing environment.  Lyn holds her FINRA Series 7 and 24 licenses, along with her Florida 2-15 license.

What’s the greatest lesson you’ve learned in life thus far?

Embrace the todays. Accept the yesterdays. Look forward to the tomorrows. Remember that tomorrow never comes and yesterday is forever gone.

If you could have any one super power, what would it be?

Strength and Endurance – Whether in personal or work life, we are all faced with challenges. They can appear as impossible feats without reward. It’s finding ways and strength to embrace and work through the challenges to find a positive outcome, even in the face of adversity.

What is something unrelated to your job that you love doing?

When it’s just me, it’s music – I play both piano and guitar. This is my go to. When it’s with other, it’s sports – tennis, skating, skiing and bowling.

When it’s with others, it’s sports – tennis, skating, skiing and bowling.

What is your favorite food?

It’s a toss-up:  pizza ranks way up there but so do beignets, french fries, and chocolate for junk food.  Real dinner food would be chicken parmigiana.

What is the #1 song on your playlist?

“More Than a Feeling” by Boston.


Please direct all questions to
Osaic Wealth Form CRS
The information provided is derived from sources deemed to be reliable. It is not intended as tax or legal advice, which we do not provide. Please consult legal or tax professionals for specific information regarding your individual situation.
The opinions expressed and material provided are for general information and should not be considered a solicitation for the purchase or sale of any security, which may only be sold by individual recommendation.
Securities and investment advisory services offered through Osaic Wealth, Inc. member FINRA/SIPC. Osaic Wealth is separately owned and other entities and/or marketing names, products or services referenced here are independent of Osaic Wealth.
We are registered to sell securities in all 50 US states.
We are licensed to sell insurance in all 50 US states.
Maps and some building imagery may be sourced with approval from Google Maps.
NextPhase™ is a retirement program offered exclusively through Osaic Inc., which owns our broker-dealer, Osaic Wealth.
MyStages® is a consumer wellness program by Signature Financial Solutions, LLC.
Signature Financial Solutions, LLC
1511 N Westshore Boulevard
Suite 1100
Tampa, FL  33607
Main Office: 813-287-8800  |
Check the background of your financial professional on FINRA’s BrokerCheck FINRA SIPC
© Signature Financial Solutions, LLC.  All Rights Reserved