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Detailed Report
CHAD DANIEL HORNADAY
CRD#: 2776038
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2002200420062008201020122014201620182020IAAXA ADVISORS, LLC (CRD# 6627)2013 - 2016 (3 years)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2009 - 2013 (3 years)IAINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2006 - 2009 (3 years)IAWORTHMARK FINANCIAL SERVICES, LLC (CRD# 47086)2004 - 2006 (1 year)IAPLANMEMBER SECURITIES CORPORATION (CRD# 11869)2003 - 2004 (1 year)IAWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)2002 - 2002 (<1 year)
Disclosure(s)
View By:
5/7/2019
Customer Dispute
Denied
2/7/2019
Customer Dispute
Settled
6/28/2017
Customer Dispute
Settled
1/27/2017
Regulatory
Final
8/31/2016
Employment Separation After Allegations
Previous Registration(s)
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 05/01/2013 - 09/02/2016 AXA ADVISORS, LLC (CRD#:6627) CARLSBAD, CA
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 07/31/2009 - 04/30/2013 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) LAKE FOREST, CA
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 02/28/2006 - 08/11/2009 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) SAN CLEMENTE, CA
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 09/08/2004 - 03/22/2006 WORTHMARK FINANCIAL SERVICES, LLC (CRD#:47086) SAN CLEMENTE, CA
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 01/04/2003 - 09/01/2004 PLANMEMBER SECURITIES CORPORATION (CRD#:11869) LAGUNA NIGUEL, CA
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 01/04/2002 - 12/31/2002 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) LAGUNA NIGUEL, CA
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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.
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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.