RH
Ronald P. Horta
CETERA INVESTMENT ADVISERS LLC
MONTEREY, CA 93940
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CRD#: 2640895
RH
Professional summary
Ronald Paul Horta, who also goes by Ronald P Horta, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Monterey, California and CETERA WEALTH SERVICES, LLC located in Monterey, California.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Ronald has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ronald P Horta
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. NAME OF OTHER BUSINESS: INSURANCE,
INVESTMENT RELATED: YES,
NATURE OF BUSINESS: SALE OF FIXED INSURANCE (ANNUITIES),
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE,
START DATE: 10/20/2009,
BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS A REGISTERED REPRESENTATIVE;
2. NAME OF OTHER BUSINESS: RON HORTA,
INVESTMENT RELATED: YES,
ADDRESS: 1172 FOLEY DRIVE. SANTA CLARA, CA 95051,
NATURE OF BUSINESS: TAX SERVICES,
POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR,
START DATE: 11/2005,
BRIEF DESCRIPTION OF DUTIES: SOLE PROPRIETOR - PREPARE TAX RETURNS, TAX SERVICES FOR CLIENTS;
3. MONTEREY CREDIT UNION,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
CREDIT UNION,
START 06/22/2008,
40HRS/WK (32.5 TRADING HOURS),
REGISTERED REPRESENTATIVE;
4. NAME OF OTHER BUSINESS: INTUIT INC;
INVESTMENT RELATED: NO
ADDRESS: 2700 COAST AVE , MOUNTAIN VIEW, CA 94043 ;
NATURE OF BUSINESS: TAX AND BUSINESS PROGRAMS ;
START DATE: 01/2020 ;
POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT ;
APX NUMBER OF HOURS PER WEEK: 10-15 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 10-15 ;
BRIEF DESCRIPTION OF DUTIES: ASSIST CUSTOMERS BY ANSWERING TAX QUESTIONS ;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Paul Horta'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 288 Pearl St Suite 101, Monterey, CA 93940Office #2: 1566 N Main St, Salinas, CA 93906RIA
CRD#: 105644
MONTEREY, CA
Current
September 9, 1996 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 501 E Franklin St, Monterey, CA 93940BD
CRD#: 13572
Monterey, CA
Past
June 30, 2000 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SANTA CLARA, CA
Past
August 3, 1995 - August 15, 1996
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(1/25/2000)
RR
California(9/9/1996)
IAR
California(6/29/2023)
RR
Colorado(6/21/2019)
RR
Hawaii(4/27/2022)
RR
Maryland(8/16/2002)
RR
Montana(4/3/2024)
RR
Nevada(4/10/2017)
RR
New Jersey(10/31/2019)
RR
Oregon(1/3/2024)
RR
Rhode Island(2/8/2022)
RR
Washington(11/7/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Monterey, CA 93940TRUST BUT VERIFY
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