Theodore C. Horowitz
KESTRA PRIVATE WEALTH SERVICES
Peoria, AZ 85382
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CRD#: 2529174
Professional summary
Theodore Charles Horowitz, CFP®, who also goes by Ted Horowitz, Theodore C Horowitz, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Peoria, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Peoria, Arizona.
Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Theodore has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ted Horowitz | Theodore C Horowitz
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.
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Charles Horowitz'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: 2000
Experience
Current
May 5, 2021 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 8765 W. Kelton Lane Suite B5w, Peoria, AZ 85382RIA
CRD#: 155193
Peoria, AZ
Current
May 5, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 8765 W. Kelton Lane Suite B5w, Peoria, AZ 85382BD
CRD#: 42046
Peoria, AZ
Past
July 30, 2012 - May 10, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SCOTTSDALE, AZ
Past
July 27, 2012 - May 10, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SCOTTSDALE, AZ
Past
January 27, 2011 - August 9, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PEORIA, AZ
Past
June 1, 2009 - August 9, 2012
MORGAN STANLEY
BD
CRD#: 149777
PEORIA, AZ
Past
May 6, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PEORIA, AZ
Past
February 2, 2004 - May 27, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SCOTTSDALE, AZ
Past
January 5, 2001 - May 27, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 2, 1998 - January 26, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
August 8, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
October 5, 1994 - August 20, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
Arizona(5/5/2021)
IAR
Arizona(5/6/2021)
RR
California(5/5/2021)
RR
Colorado(5/12/2021)
RR
Connecticut(5/5/2021)
RR
Florida(5/5/2021)
RR
Georgia(5/5/2021)
RR
Idaho(5/5/2021)
RR
Illinois(4/30/2025)
RR
Kansas(6/18/2024)
RR
Louisiana(5/5/2021)
RR
Maine(5/5/2021)
RR
Michigan(6/25/2024)
RR
Minnesota(5/12/2021)
RR
Montana(5/5/2021)
RR
Nevada(5/5/2021)
RR
New Mexico(9/13/2021)
RR
New York(5/5/2021)
RR
North Carolina(5/12/2021)
RR
Ohio(10/5/2023)
RR
Oregon(5/5/2021)
RR
Pennsylvania(5/5/2021)
RR
Rhode Island(5/5/2021)
RR
South Carolina(5/5/2021)
RR
South Dakota(1/26/2023)
RR
Tennessee(8/13/2024)
RR
Texas(5/5/2021)
IAR
Texas(5/5/2021)
RR
Washington(5/5/2021)
RR
West Virginia(5/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
