RH
Robert A. Horning
MCDERMOTT INVESTMENT ADVISORS
Los Angeles, CA
Some features on this profile are disabled
CRD#: 2311640
RH
Professional summary
Robert Alan Horning, who also goes by Bob Horning, is a registered financial advisor currently at MCDERMOTT INVESTMENT ADVISORS, LLC located in Los Angeles, California and MCDERMOTT INVESTMENT SERVICES, LLC located in Los Angeles, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Horning
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.
H & S Wealth Management; Los Angeles, CA; Not Investment-Related; Since 9/2009; Sole Proprietor; DBA for branding purposes only, representing investments offered by licensed Broker Dealer; Duties include consulting with clients on Broker Dealer products; Devote approx. 160 hrs/month to this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alan Horning'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
September 20, 2017 - Present
MCDERMOTT INVESTMENT ADVISORS, LLC
RIA
CRD#: 132221
Los Angeles, CA
Current
September 20, 2017 - Present
MCDERMOTT INVESTMENT SERVICES, LLC
BD
CRD#: 154926
Los Angeles, CA
Past
February 28, 2011 - September 18, 2017
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
LOS ANGELES, CA
Past
July 2, 2009 - September 18, 2017
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
LOS ANGELES, CA
Past
November 19, 2004 - July 1, 2009
DIRECT CAPITAL SECURITIES, INC.
BD
CRD#: 29639
AUSTIN, TX
Past
July 11, 2003 - December 15, 2004
MCL FINANCIAL GROUP, INC.
BD
CRD#: 41180
SANTA ANA, CA
Past
March 25, 1999 - August 22, 2000
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
June 23, 1995 - July 11, 2003
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
December 1, 1994 - June 8, 1995
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
January 25, 1993 - December 20, 1994
WEALTH RESOURCE CAPITAL CORPORATION
BD
CRD#: 10367
NEWPORT BEACH, 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".
MI
MCDERMOTT INVESTMENT ADVISORS, LLC
MCDERMOTT INVESTMENT ADVISORS, LLC
CRD#: 132221 / SEC#: 801-79404
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)California
Registered Investment Advisory firm - (5/7/2014 Terminated)Florida
Registered Investment Advisory firm - (12/31/2014 Terminated)Maine
Registered Investment Advisory firm - (4/7/2014 Terminated)Nevada
Registered Investment Advisory firm - (10/6/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (4/7/2014 Terminated)New Jersey
Registered Investment Advisory firm - (4/7/2014 Terminated)New York
Registered Investment Advisory firm - (4/7/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/8/2014 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
Arizona(9/20/2017)
RR
California(9/20/2017)
IAR
California(9/20/2017)
RR
Colorado(3/6/2023)
RR
Florida(9/17/2020)
RR
Georgia(7/9/2025)
RR
Hawaii(10/30/2017)
RR
Idaho(7/7/2021)
RR
Illinois(11/28/2017)
RR
Iowa(9/21/2017)
RR
Kansas(8/24/2021)
RR
Louisiana(9/20/2017)
RR
Maine(4/15/2025)
RR
Montana(1/21/2022)
RR
Nevada(9/28/2017)
RR
New York(3/24/2020)
RR
Oregon(11/8/2024)
RR
South Carolina(1/8/2025)
RR
South Dakota(1/16/2020)
RR
Tennessee(8/30/2021)
RR
Texas(10/27/2020)
RR
Virginia(11/6/2017)
RR
Washington(11/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MCDERMOTT INVESTMENT ADVISORS, LLC
MCDERMOTT INVESTMENT ADVISORS, LLC
CRD#: 132221 / SEC#: 801-79404
RIA
Registered Investment Advisory firm - (4/4/2014 Approved)California
Registered Investment Advisory firm - (5/7/2014 Terminated)Florida
Registered Investment Advisory firm - (12/31/2014 Terminated)Maine
Registered Investment Advisory firm - (4/7/2014 Terminated)Nevada
Registered Investment Advisory firm - (10/6/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (4/7/2014 Terminated)New Jersey
Registered Investment Advisory firm - (4/7/2014 Terminated)New York
Registered Investment Advisory firm - (4/7/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/8/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
780 Fifth Avenue South Suite 200, Naples, FL 34102
Mailing Address
P.o. Box 1889, Bethlehem, PA 18016-1889
Phone number
(610) 882-1460
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 709 |
| AUM (Assets Under Management) | $ 211,048,107 |
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.
