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RH

Richard A. Hornung

FOCUS FINANCIAL
Minneapolis, MN 55413
Some features on this profile are disabled
CRD#: 2294388
RH

Professional summary

Richard Arthur Hornung JR, who also goes by Rich Horning Jr, is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rich Horning Jr

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) - RIA

Click below to view Richard Arthur Hornung JR'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

March 30, 2006 - Present

FOCUS FINANCIAL

Office #1: 1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
RIA
CRD#: 116140
Minneapolis, MN
Current

January 31, 2000 - Present

OSAIC WEALTH, INC.

Office #1: 1300 Godward St Ne Suite 5500, Minneapolis, MN 55413
RIA
BD
CRD#: 23131
Minneapolis, MN
Past

March 25, 1993 - February 4, 2000

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

March 4, 1993 - March 4, 1993

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE

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".
FOCUS FINANCIAL
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS

CRD#: 116140 / SEC#: 801-71117

RIA
Registered Investment Advisory firm - (3/2/2010 Approved)
Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)
California
Registered Investment Advisory firm - (3/8/2010 Terminated)
Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)
Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)
Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)
Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)
Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)
Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)
Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)
Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)
Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)
New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)
New York
Registered Investment Advisory firm - (3/5/2010 Terminated)
North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)
North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)
Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)
Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)
South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)
Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)
Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)
Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)

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
(6/15/2011)
RR
Arizona
(9/3/2004)
RR
California
(1/12/2022)
RR
Colorado
(3/8/2017)
RR
Florida
(5/13/2025)
RR
Idaho
(10/17/2023)
RR
Kentucky
(9/3/2010)
RR
Maryland
(10/26/2023)
RR
Minnesota
(1/31/2000)
IAR
Minnesota
(12/10/2013)
RR
Missouri
(12/14/2017)
RR
Nebraska
(6/26/2019)
RR
Nevada
(4/4/2013)
RR
New York
(10/5/2023)
RR
Pennsylvania
(6/13/2005)
RR
Texas
(1/11/2010)
IAR
Texas
(1/25/2010)
RR
Wisconsin
(7/5/2007)
RR
Wyoming
(10/17/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/27/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/1992
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FOCUS FINANCIAL
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS

CRD#: 116140 / SEC#: 801-71117

RIA
Registered Investment Advisory firm - (3/2/2010 Approved)
Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)
California
Registered Investment Advisory firm - (3/8/2010 Terminated)
Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)
Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)
Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)
Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)
Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)
Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)
Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)
Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)
Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)
Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)
New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)
New York
Registered Investment Advisory firm - (3/5/2010 Terminated)
North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)
North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)
Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)
Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)
South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)
Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)
Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)
Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)
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Contact information

Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172

SEC notice filing (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FOCUS FINANCIAL FIRM BROCHURE (7/21/2025)

Regulatory assets under management

Total Number of Accounts26,057
AUM (Assets Under Management)$ 6,262,663,508

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/06/2026
Cover Page
Report
01/16/2025
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.

Company Information

FOCUS FINANCIAL

FOCUS FINANCIAL

CRD#: 116140Minneapolis, MN 55413

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