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Detailed Report
PATRICK LEIF HORN
PATRICK HORN
CRD#: 2559951
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 7545 IRVIN CENTER DRIVE
SUITE 200
IRVINE, CA 92618
CETERA ADVISORS LLCCRD#: 10299 Lake Forest, CA
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2002 (1 year)2 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2012 (4 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2012 - 2022 (10 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)2001 - 2001 (<1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)1999 - 2001 (1 year)BE*OFFERING (CRD# 36717)1998 - 1999 (1 year)BH.J. MEYERS & CO., INC. (CRD# 15609)1995 - 1998 (3 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2020 (8 years)
License(s)

State Registrations

B
Arizona 6/5/2024
B
Florida 9/5/2024
IA
California 11/12/2020
B
Ohio 9/8/2022
B
California 9/8/2022
B
Oklahoma 9/8/2022
B
Colorado 9/8/2022
B
Washington 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
7545 IRVIN CENTER DRIVE SUITE 200, IRVINE, CA 92618
LAKE FOREST, CA
Registered with this firm since 11/12/2020
B
CETERA ADVISORS LLC (CRD#:10299)
Lake Forest, CA
7545 IRVINE CENTER DRIVE SUITE 200, IRVINE, CA 92618
Registered with this firm since 9/8/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/03/2012 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) IRVINE, CA
IA
 02/03/2012 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) IRVINE, CA
IA
 07/06/2007 - 02/03/2012 PACIFIC WEST FINANCIAL CONSULTANTS INC (CRD#:108728) RENTON, WA
B
 07/06/2007 - 02/03/2012 PACIFIC WEST SECURITIES, INC. (CRD#:6390) IRVINE, CA
IA
 11/05/2004 - 07/13/2007 BROOKSTREET CAPITAL MANAGEMENT (CRD#:14667) NEWPORT BEACH, CA
B
 10/26/2004 - 07/13/2007 BROOKSTREET SECURITIES CORPORATION (CRD#:14667) NEWPORT BEACH, CA
IA
 03/19/2003 - 10/28/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) TUSTIN, CA
B
 03/19/2003 - 10/28/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 11/01/2001 - 12/12/2002 THE SEIDLER COMPANIES INCORPORATED (CRD#:3911) LOS ANGELES, CA
IA
 12/07/2001 - 11/25/2002 CONSTELLATION ADVISORS (CRD#:107778) IRVINE, CA
B
 01/12/2001 - 11/12/2001 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
 09/28/1999 - 02/23/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 09/22/1998 - 09/30/1999 E*OFFERING (CRD#:36717) SAN FRANCISCO, CA
B
 08/07/1995 - 08/17/1998 H.J. MEYERS & CO., INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.