Individual Firm
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SCOTT DAVID HORNER
SCOTT DAVID HONRER
CRD#: 2059483
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2618 E. LOUISE DRIVE
PHOENIX, AZ 85032
PHOENIX, AZ 85032
CETERA ADVISORS LLCCRD#: 10299 Phoenix, AZ
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4/1/1996
Customer Dispute
Settled
State Registrations
IA
Arizona 11/12/2020
B
North Carolina 3/28/2023
B
Arizona 9/8/2022
B
Oregon 2/27/2023
B
California 9/8/2022
B
South Dakota 4/18/2024
B
Colorado 9/8/2022
B
Texas 9/8/2022
B
Kentucky 5/19/2023
IA
Texas 11/1/2022
B
Maryland 2/3/2025
B
Virginia 4/22/2024
B
New Mexico 9/8/2022
B
Wyoming 3/12/2024
B
New York 9/8/2022
SRO Registrations
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 11/12/2020
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/13/2005 - 09/08/2022 | Phoenix, AZ | |
IA | 07/02/2012 - 11/12/2020 | PHOENIX, AZ | |
IA | 01/15/2010 - 07/02/2012 | Phoenix, AZ | |
B | 02/04/2000 - 06/13/2005 | ALAMO, CA | |
B | 03/02/1998 - 02/17/2000 | NEW YORK, NY | |
B | 01/02/1998 - 03/02/1998 | ||
B | 07/22/1996 - 01/02/1998 | DALLAS, TX | |
B | 03/02/1992 - 08/20/1996 | PHOENIX, AZ | |
B | 07/26/1990 - 02/28/1992 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.