Arthur N. Hornak

CETERA INVESTMENT ADVISERS LLC

SHREWSBURY, NJ 07702

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CRD#: 1344456

Professional summary

Arthur Norman Hornak, who also goes by Arthur N Hornak, Arthur Hornak, Arthur Norman Hornok, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shrewsbury, New Jersey and CETERA INVESTMENT SERVICES LLC located in Jersey City, New Jersey.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Arthur has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Arthur N Hornak | Arthur Hornak | Arthur Norman Hornok

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 02/14/2018 - PROSPERIS FINANCIAL SOLUTIONS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Norman Hornak's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 21, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 500 Broad Street, Shrewsbury, NJ 07702

RIA

CRD#: 105644

SHREWSBURY, NJ

Current

February 20, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 895 Bergen Ave, Jersey City, NJ 07306Office #2: 6 Jackson Street, South River, NJ 08882Office #3: 2120 W County Line Rd, Jackson, NJ 08527Office #4: 3659 Nottinham Way, Hamilton, NJ 08690Office #5: 37 Rt 15, Lafayette, NJ 07848Office #6: 7 Town Center Dr, Sparta, NJ 07871Office #7: 325 Garden Street, Carlstadt , NJ 07072Office #8: 25 Rt 23 S, Franklin, NJ 07416Office #9: 500 Broad Street, Shrewsbury, NJ 07702Office #10: 111 Wood Avenue S Suite 200, Iselin, NJ 08830

CRD#: 15340

Jersey City, NJ

Past

February 14, 2018 - March 2, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

LINWOOD, NJ

Past

February 14, 2018 - March 2, 2018

LPL FINANCIAL LLC

CRD#: 6413

LINWOOD, NJ

Past

October 25, 2012 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

FREEHOLD, NJ

Past

August 1, 2003 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

FREEHOLD, NJ

Past

December 5, 2001 - August 20, 2003

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

July 31, 1998 - December 5, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

July 10, 1998 - August 6, 1998

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

April 17, 1995 - November 14, 1997

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

July 15, 1994 - April 12, 1995

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

June 22, 1994 - July 18, 1994

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

January 2, 1992 - June 22, 1994

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

April 22, 1991 - December 31, 1991

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

May 23, 1989 - June 21, 1989

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 9, 1989 - May 23, 1989

PENNSYLVANIA SECURITIES COMPANY

CRD#: 7667

Past

January 1, 1988 - February 9, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/25/2018)

Colorado
(9/12/2022)

Delaware
(2/20/2018)

Florida
(2/20/2018)

Iowa
(5/8/2024)

Kansas
(12/1/2021)

Nevada
(6/11/2020)

New Jersey
(2/20/2018)

IAR

New Jersey
(2/21/2018)

New York
(2/20/2018)

North Carolina
(3/5/2018)

Pennsylvania
(2/20/2018)

South Carolina
(2/20/2018)

Tennessee
(11/13/2025)

Texas
(7/15/2021)

IAR

Texas
(1/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/24/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Arthur N. Hornak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Norman Hornak's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

BNY MELLON SECURITIES LLC

CONSECO SECURITIES, INC.

FISERV INVESTOR SERVICES, INC.

CONSECO SECURITIES, INC.

USLIFE EQUITY SALES CORP.

CONSECO SECURITIES, INC.

USLIFE EQUITY SALES CORP.

CADARET, GRANT & CO., INC.

CETERA WEALTH SERVICES, LLC

PENNSYLVANIA SECURITIES COMPANY

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2012

Series 63

Date: 6/2/1988

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1987

Series 24

Date: 11/17/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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