Scott D. Horner
Professional summary
Scott David Horner, who also goes by Scott David Honrer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA ADVISORS LLC located in Phoenix, Arizona.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Scott has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 51, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott David Horner's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
September 8, 2022 - Present
CETERA ADVISORS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 15, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 4, 2000 - June 13, 2005
ROUND HILL SECURITIES, INC.
March 2, 1998 - February 17, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 22, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
March 2, 1992 - August 20, 1996
NORCROSS & COMPANY
July 26, 1990 - February 28, 1992
CENPAC SECURITIES CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(8/1/2025)
(5/19/2023)
(2/3/2025)
(9/8/2022)
(9/8/2022)
(3/28/2023)
(2/27/2023)
(4/18/2024)
(9/8/2022)
(11/1/2022)
(4/22/2024)
(3/12/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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