SH
Steven Horn
REALTA INVESTMENT ADVISORS,
New York, NY 10018
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CRD#: 2579003
SH
Professional summary
Steven Horn, who also goes by Steven B. Horn Sr, Steven Brian Horn, Steven B Horn Sr, Steven B. Horn Sr, is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in New York, New York.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Steven has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven B. Horn Sr | Steven Brian Horn | Steven B Horn Sr | Steven B. Horn Sr
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.
(1) DBA COASTAL INDEPENDENT WEALTH ADVISORS/COASTAL INDEPENDENT ADVISORS; 80 BROAD ST STE 629 NEW YORK, NY 10004; INVESTMENT ADVISORY SERVICES; WWW.COASTALINDEPENDENTADVISORS.COM AND COASTALINDEPENDENT.COM; INVESTMENT ADVISOR REPRESENTATIVE; COMPENSATION IN THE FORM OF FEES; 60-70 HOURS PER WEEK DURING NORMAL TRADING HOURS. (2) HORN BUSINESS ADVISORS, LLC; START 12/2023; COST REDUCTION AND SAVINGS FOR BUSINESSES; SOLE MEMBER; COMMISSIONS; 10-20 HOURS PER WEEK DURING NORMAL TRADING HOURS. (3) REALTA INVESTMENT ADVISORS, INC.; INVESTMENT RELATED; START: 11/2020; 1201 N ORANGE STREET STE 729 WILIMINGTON, DE 19801; INVESTMENT ADVISORY SERVICES; INVESTMENT ADVISOR REPRESENTATIVE; FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Horn'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
December 2, 2020 - Present
REALTA INVESTMENT ADVISORS, INC
Office #1: 500 7th Avenue 8th Floor, Suite 14c103, New York, NY 10018RIA
CRD#: 134952
New York, NY
Past
November 30, 2020 - October 14, 2022
REALTA EQUITIES, INC.
BD
CRD#: 23769
NEW YORK, NY
Past
March 29, 2016 - December 7, 2020
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
February 22, 2016 - December 7, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 19, 2013 - February 26, 2016
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
GREAT NECK, NY
Past
December 17, 2012 - February 26, 2016
SANTANDER SECURITIES LLC
BD
CRD#: 41791
GREAT NECK, NY
Past
November 9, 2011 - December 17, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROSLYN, NY
Past
March 17, 2010 - July 20, 2010
RNR SECURITIES, L.L.C.
BD
CRD#: 43689
EAST MEADOW, NY
Past
May 1, 2009 - December 23, 2009
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
GARDEN CITY, NY
Past
June 2, 1998 - October 2, 1998
WHITEHALL WELLINGTON INVESTMENTS, INC.
BD
CRD#: 38022
PORT WASHINGTON, NY
Past
April 7, 1998 - June 4, 1998
HD BROUS & CO., INC.
BD
CRD#: 22062
GREAT NECK, NY
Past
January 26, 1998 - April 20, 1998
AIBC INVESTMENT SERVICES CORPORATION
BD
CRD#: 16397
Past
January 1, 1998 - January 22, 1998
FOSTER JEFFRIES SECURITIES, LLC
BD
CRD#: 30144
WESTBURY, NY
Past
September 4, 1997 - December 9, 1997
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
May 13, 1997 - September 11, 1997
ALEX MOORE & COMPANY, INC.
BD
CRD#: 28062
MELVILLE, NY
Past
July 18, 1996 - May 9, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
BD
CRD#: 21846
NEW YORK, NY
Past
July 27, 1995 - July 17, 1996
FIRST UNITED EQUITIES CORPORATION
BD
CRD#: 36398
NEW YORK, NY
Past
April 10, 1995 - July 31, 1995
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 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.Highlighted states indicate IAR registrations
IAR
New York(11/10/2021)
IAR
Texas(6/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
