Kenneth N. Horton

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CRD#: 1830972

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Neal Horton, who also goes by Ken Horton, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 9 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Horton

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2018 - November 23, 2021

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

RIA

CRD#: 168363

FRESNO, CA

Past

March 26, 2003 - September 9, 2003

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

June 13, 2002 - April 3, 2003

VERITRUST FINANCIAL, LLC

CRD#: 106594

AUSTIN, TX

Past

October 19, 2000 - December 31, 2001

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

February 10, 2000 - May 2, 2000

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

April 17, 1990 - December 31, 1999

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

December 7, 1989 - April 7, 1990

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

April 10, 1989 - June 6, 1989

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 25, 1988 - April 10, 1989

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

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".

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

DARLING FINANCIAL GROUP, LLC | WHITEROCK CAPITAL MANAGEMENT | PACIFIC CREST WEALTH MANAGEMENT | HANSEN & ASSOCIATES FINANCIAL GROUP INC.

CRD#: 168363 / SEC#: 801-122580

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

California

Registered Investment Advisory firm - (12/3/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

General Industry/Product Exam

Series 6

Date: 5/23/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

DARLING FINANCIAL GROUP, LLC | WHITEROCK CAPITAL MANAGEMENT | PACIFIC CREST WEALTH MANAGEMENT | HANSEN & ASSOCIATES FINANCIAL GROUP INC.

CRD#: 168363 / SEC#: 801-122580

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

California

Registered Investment Advisory firm - (12/3/2021 Terminated)

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Contact information

Main Address

2271 Lava Ridge Court Suite 195, Roseville, CA 94661

Mailing Address

Phone number

(916) 706-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 - WRAP BROCHURE (3/10/2025)

ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,165
AUM (Assets Under Management)	$ 229,760,228

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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Kenneth N. Horton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

ALLSTATE FINANCIAL SERVICES, LLC

VERITRUST FINANCIAL, LLC

UNITED SECURITIES ALLIANCE, INC.

WADDELL & REED

ARAGON FINANCIAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

CETERA WEALTH SERVICES, LLC

AMERICAN PACIFIC SECURITIES CORPORATION

Primary Firm SEC Registration

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

State Registrations and Notice Filings

Exams

Series 6

Date: 5/23/1988

Current Firm

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HANSEN & ASSOCIATES FINANCIAL GROUP INC.

TRUST BUT VERIFY

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