Patrick L. Horn
Professional summary
Patrick Leif Horn, CFP®, who also goes by Patrick Horn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Laguna Niguel, California and CETERA ADVISORS LLC located in Lake Forest, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Patrick has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Leif Horn's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2003
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 7545 Irvine Center Drive Ste 200, Irvine, CA 92618September 8, 2022 - Present
CETERA ADVISORS LLC
Office #2: 28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677February 3, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
February 3, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 6, 2007 - February 3, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
July 6, 2007 - February 3, 2012
PACIFIC WEST SECURITIES, INC.
November 5, 2004 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
October 26, 2004 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
March 19, 2003 - October 28, 2004
CITICORP INVESTMENT SERVICES
March 19, 2003 - October 28, 2004
CITICORP INVESTMENT SERVICES
December 7, 2001 - November 25, 2002
SMART INVESTMENTS ADVISORY INCORPORATED
November 1, 2001 - December 12, 2002
THE SEIDLER COMPANIES INCORPORATED
January 12, 2001 - November 12, 2001
PIPER SANDLER & CO.
September 28, 1999 - February 23, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 22, 1998 - September 30, 1999
E*OFFERING
August 7, 1995 - August 17, 1998
H.J. MEYERS & CO., INC.
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
(6/5/2024)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/5/2024)
(9/8/2022)
(9/8/2022)
(9/8/2022)
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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