Steven H. Hornstein
CETERA INVESTMENT ADVISERS LLC
WOODLAND HILLS, CA 91367
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CRD#: 1833072
Professional summary
Steven Howard Hornstein, CFP®, who also goes by Steve Hornstein, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woodland Hills, California and CETERA WEALTH SERVICES, LLC located in Woodland Hills, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Hornstein
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) Hornstein Law Office~20335 Ventura Blvd, Ste 203 Woodland Hills CA,91364; Attorney/Legal Practice; Owner 7/1/02, 120hrs; 60hrs; Meet with clients, prepare living trusts, petitions, attend court hearings, manage my staff. 2) NORTHRIDGE LETIP; Past-President/board member; Board Position/Officer; HRS 1; HRS 1; 5/1/22; Porter Valley Country Club, 19216 Singing Hills Drive, Northridge CA 91326; Attend board meetings. 3)Rotary Club of Woodland Hills~P.O. Box 144~Woodland Hills~CA~91365~Other~Other~4/1/2003~3hrs~2hrs~Attend meetings, volunteer for charitable activities incl. serving/packing meals for disadvantaged individuals, speaking to a HS on career day & attend various club functions. 4)WEST VALLEY; Chief Financial Officer; Nonprof; NIR; HRS 2; HRS 1; 07/01/2017; PO Box 1, Woodland Hills CA 91365; Assist staff in entering transactions in QuickBooks & presenting financial statements at board meetings. 5)Creating Your Estate Plan; Author; I wrote a book explaining the documents that are in the estate plans that my law office prepares & things to consider when getting an estate plan; NIR; HRS 0; HRS 0; 1/14/2020; Woodland Hills CA; I hand out the book to clients and prospects. 6)Neighborhood Protection Plan Subcommittee; Serve on The Nghbrhood Protection Plan Subcommittee of the Warner Center 2035 Plan Implementation Board; HRS 1; HRS 0; 7/26/22; Reseda CA; Help to consider the impact of development and issues affecting the community & provide feedback to the councilman. 7) VALLEY STARS TOASTMASTERS CLUB; President; Organization that promotes practicing giving speeches; NIR; HRS 3; HRS 3; 7/3/20; 6100 Topanga Canyon Blvd., Woodland Hills CA 91364; Run the board meetings in which we discuss issues that may come up, such as growing our membership & education programs for our members & upcoming speaking contests. 8) HORNSTEIN FINANCIAL; Other; Other; NIR; HR 40; HR 20; 7/1/02; 20335 Ventura Blvd, Ste 203, Woodland Hills CA 91364; Name for Avantax Services & CPA services 9)WOODLAND HILLS TAX AND ESTATE PLANNING COUNCIL; Board member; We are a nonprofit organization whose specific purpose is to promote the common interests of estate and tax planning professionals; NIR; HR 5; HR 0; 09/04/2023; Attend board meetings to help the council plan monthly meetings, which run from September through June each year, with the council taking a break during the summer. 10) BUSINESS MANAGEMENT SERVICES; Owner; Purchase client list and continue providing the services. Business management, check writing, bill pay bookkeeping and tax preparation. Adding business Management Services to the services I provide as part of my CPA and Law practice and so that I can complete the purchase of his client list. NIR; HRS 10; HRS 5; 01/02/2024; 20335 Ventura Blvd, Ste 203, Woodland Hills CA 91364, United States; Pay clients' bills at clients' direction via writing checks and processing online bill payments and downloading bank statements to reconcile accounts. 11)CO-SIGNER ON BANK ACCNT; Signer on bank account As part of my legal practice, a client appntd administrator in a probate could not be bonded so in order to have bond, the bond company requires an atty to be a co-signer on the estate bank account; NIR; HRS 1; HRS 0; 3/17/22; 20335 Ventura Blvd, Ste 203, Woodland Hills CA 91364; Co-sign, w/court appntd administrator, checks on behalf of the estate & as approved by the Superior Court of California.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Howard Hornstein'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®
CFP®
Start date: 1999
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21800 Oxnard Street Suite 200, Woodland Hills, CA 91367RIA
CRD#: 105644
WOODLAND HILLS, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 20335 Ventura Blvd Ste 203, Woodland Hills, CA 91364BD
CRD#: 13572
Woodland Hills, CA
Past
June 30, 2016 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Woodland Hills, CA
Past
June 29, 2016 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Woodland Hills, CA
Past
March 23, 2006 - July 20, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODLAND HILLS, CA
Past
March 22, 2006 - July 20, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
September 2, 2003 - March 24, 2006
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WOODLAND HILLS, CA
Past
June 26, 2001 - March 24, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 23, 1999 - May 22, 2001
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
August 28, 1989 - August 11, 1997
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
Past
June 22, 1988 - August 11, 1997
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
California(9/5/2025)
IAR
California(9/5/2025)
RR
New York(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
