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Detailed Report
PETER JOSEPH HORA
CRD#: 4796341
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 2901 DOUGLAS BLVD
SUITE 250
ROSEVILLE, CA 95661
Registration History
200620082010201220142016201820202022202420262 FIRMS2012 - 2015 (3 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - 2018 (2 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2024 - Present (<1 year)BM&I FINANCIAL ADVISORS, INC (CRD# 16517)2005 - 2012 (7 years)IAM&I FINANCIAL ADVISORS, INC. (CRD# 16517)2012 - 2012 (<1 year)IAM&I INVESTMENT MANAGEMENT CORP. (CRD# 109802)2010 - 2012 (1 year)IAM&I FINANCIAL ADVISORS, INC. (CRD# 16517)2009 - 2010 (<1 year)
License(s)

State Registrations

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California 12/6/2024
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
2901 DOUGLAS BLVD SUITE 250, ROSEVILLE, CA 95661
Registered with this firm since 12/6/2024
Previous Registration(s)
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 08/08/2016 - 10/15/2018 LPL FINANCIAL LLC (CRD#:6413) SAN MATEO, CA
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 08/05/2016 - 10/15/2018 LPL FINANCIAL LLC (CRD#:6413) SAN MATEO, CA
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 01/06/2016 - 07/28/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) CAMPBELL, CA
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 01/06/2016 - 07/28/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) CAMPBELL, CA
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 08/01/2012 - 12/14/2015 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) GOODYEAR, AZ
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 08/01/2012 - 12/14/2015 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) GOODYEAR, AZ
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 04/26/2012 - 08/01/2012 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) GOODYEAR, AZ
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 02/01/2005 - 08/01/2012 M&I FINANCIAL ADVISORS, INC (CRD#:16517) GOODYEAR, AZ
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 05/11/2010 - 04/19/2012 M&I INVESTMENT MANAGEMENT CORP. (CRD#:109802) MILWAUKEE, WI
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 06/01/2009 - 03/26/2010 M&I FINANCIAL ADVISORS, INC. (CRD#:16517) GOODYEAR, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.