CH
Carlos J. Hornbrook
OSAIC WEALTH
New Orleans, LA 70130
Some features on this profile are disabled
CRD#: 1393995
CH
Professional summary
Carlos Joseph Hornbrook is a registered financial advisor currently at OSAIC WEALTH, INC. located in New Orleans, Louisiana.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Carlos has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) INSURANCE: CARLOS HORNBROOK, INVESTMENT RELATED, 700 SOUTH PETERS # 315 NEW ORLEANS LA 70130, OWNER, 1986, 12 HRS/MTH, 6 DURING TRADING HRS, SELL LIFE AND HEALTH INSURANCE. 2) HORNBROOK LAW FIRM; ATTORNEY AT LAW; NOT INVESTMENT RELATED; 700 S. PETERS STREET SUITE 315, NEW ORLEANS, LA 70130; OWNER; 10HOURS PER MONTH DURING SECURITIES HOURS. 3) REAL ESTATE: TALBOT REALTY GROUP, INVESTMENT RELATED, 700 SOUTH PETERS # 315 NEW ORLEANS LA 70130, REAL ESTATE AGENT, APRIL 1,2009, 5 TO 10 HRS/MTH, 0 DURING TRADING HRS, REFER CLIENTS TO OTHER AGENTS AND SPLIT COMMISSIONS. 4) PJM SAFETY SUPPLIES, NON-INVESTMENT RELATED, 700 SOUTH PETERS #315, NEW ORLEANS, LA 70130 OWNER, STARTED 3/1/2007 , 20 HRS/MONTH, 1-3 HRS DURING TRADING HRS, INDUSTRIAL SALES/ DUTIES INCLUDE ALL SALES ACTIVITIES. 5) HORNBROOK LAW FIRM POSITION: Attorney at Law NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 12/01/2015 ADDRESS: 700 S Peters St #315, New Orleans LA 70130 DESCRIPTION: I am a attorney at law andwill be doing legal work in areas such as criminal law, domestic law and estate planning law. 6) THE HORNBROOK LAW FIRM POSITION: President NATURE: Law Firm that is anLLC that isapproved by the NFLPA to represent athlete. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 35 START DATE: 12/19/2017 ADDRESS: 700 South Peters St #315, New Orleans LA 70130, United States DESCRIPTION: I will reperent NFL football players in contract negotiaions 7) HORNBROOK REALTY GROUP POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2021 ADDRESS: 700 S Peters Street, 315, New Orleans LA 70130, United States DESCRIPTION: Real estate agent/broker
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Joseph Hornbrook's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Joseph Hornbrook's 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®
NoneExperience
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 700 South Peters #315, New Orleans, LA 70130RIA
BD
CRD#: 23131
New Orleans, LA
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 700 South Peters #315, New Orleans, LA 70130RIA
BD
CRD#: 23131
New Orleans, LA
Past
December 1, 2005 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NEW ORLEANS, LA
Past
December 1, 2005 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NEW ORLEANS, LA
Past
April 15, 2003 - April 1, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
RIA
CRD#: 111107
NEW ORLEANS, LA
Past
February 6, 2003 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
May 18, 2001 - February 14, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 5, 1997 - May 30, 2001
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
January 22, 1996 - September 8, 1997
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
August 4, 1994 - January 31, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 14, 1992 - August 10, 1994
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
March 1, 1990 - October 1, 1991
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
January 30, 1989 - September 1, 1989
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
April 19, 1988 - September 22, 1988
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 1, 1987 - April 30, 1988
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
January 16, 1987 - February 2, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
Alabama(11/3/2023)
RR
Arizona(11/3/2023)
RR
California(11/3/2023)
IAR
California(11/3/2023)
RR
Connecticut(11/3/2023)
IAR
Connecticut(11/3/2023)
RR
District of Columbia(11/3/2023)
RR
Florida(11/3/2023)
IAR
Florida(11/3/2023)
RR
Georgia(11/3/2023)
IAR
Georgia(11/3/2023)
RR
Idaho(11/3/2023)
RR
Illinois(11/3/2023)
IAR
Illinois(11/3/2023)
RR
Indiana(11/3/2023)
IAR
Indiana(11/3/2023)
RR
Louisiana(11/3/2023)
IAR
Louisiana(11/3/2023)
RR
Maryland(11/3/2023)
RR
Minnesota(11/3/2023)
RR
Mississippi(11/3/2023)
RR
New Jersey(11/3/2023)
IAR
New Jersey(11/3/2023)
RR
New York(11/3/2023)
RR
Pennsylvania(11/3/2023)
IAR
Pennsylvania(11/3/2023)
RR
South Carolina(8/20/2025)
RR
Texas(11/3/2023)
IAR
Texas(11/3/2023)
RR
Utah(11/3/2023)
RR
Virginia(11/3/2023)
IAR
Virginia(11/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Mailing Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 821-5100
Established
Delaware since 08/05/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
8,717
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131New Orleans, LA 70130TRUST BUT VERIFY
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Contact Information Updates
