Scott N. Horton
J.P. KING ADVISORS
WALNUT CREEK, CA 94596
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CRD#: 2666018
Professional summary
Scott Nicolas Horton, CFP® is a registered financial advisor currently at J.P. KING ADVISORS, INC. located in Walnut Creek, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Retirement Income Management
Investment Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
None
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.
I CONDUCT INSURANCE BUSINESS IN MY OWN NAME. THE BUSINESS IS INVESTMENT RELATED. THE ADDRESS OF THE BUSINESS IS THE SAME AS MY OFFICE ADDRESS. I CONDUCT IT AS A SOLE PROPRIETOR. I STARTED DOING THIS IN 1996, AND DEVOTE APPROXIMATELY LESS THAN 1 HOUR PER MONTH ON AVERAGE DURING TRADING HOURS. THE BUSINESS INVOLVES THE SALES OF ANNUITIES AND OTHER INSURANCE PRODUCTS.
I AM A SHAREHOLDER AND VICE PRESIDENT OF J.P. KING ADVISORS, INC., AN SEC REGISTERED INVESTMENT ADVISOR. THIS IS AN INVESTMENT RELATED BUSINESS. THE ADDRESS FOR THIS BUSINESS IS 1600 SOUTH MAIN STREET, SUITE 275, WALNUT CREEK, CA 94596. THIS BUSINESS INVOLVES THE RENDERING OF INVESTMENT ADVICE FOR A FEE. J.P. KING ADVISORS, INC., IS A CALIFORNIA CORPORATION, AND I AM A SHAREHOLDER/OWNER/EMPLOYEE OF THE COMPANY. I STARTED IN THIS POSITION IN APRIL, 2008 AND DEVOTE APPROXIMATELY 40 HOURS PER WEEK DURING TRADING HOURS. MY DUTIES ARE THE REVIEW OF CLIENT INVESTMENT NEEDS, THE DETERMINATION OF APPROPRIATE INVESTMENTS, AND THE MONITORING AND MANAGEMENT OF CLIENT ASSETS.
AS A SOLE PROPRIETOR I OWN ONE SINGLE FAMILY HOME RENTAL PROPERTY. THIS IS NOT AN INVESTMENT RELATED BUSINESS. I EMPLOY A PROPERTY MANAGEMENT FIRM FOR THE DAY TO DAY MANAGEMENT OF THIS PROPERTY. I HAVE OWNED RENTAL PROPERTY SINCE 2005. I DEVOTE LESS THAN 1 HOUR PER MONTH TO THIS BUSINESS ON AVERAGE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Nicolas Horton'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: 2001
Experience
Current
May 28, 2012 - Present
J.P. KING ADVISORS, INC.
Office #1: 1600 South Main St Suite 275, Walnut Creek, CA 94596RIA
CRD#: 112109
WALNUT CREEK, CA
Past
April 28, 2008 - December 31, 2014
INVESTMENT ARCHITECTS, INC.
BD
CRD#: 17774
WALNUT CREEK, CA
Past
July 8, 1997 - May 9, 2008
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
August 28, 1996 - May 9, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WALNUT CREEK, CA
Past
October 17, 1995 - August 9, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
JK
J.P. KING ADVISORS, INC.
J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.
CRD#: 112109 / SEC#: 801-60296
RIA
Registered Investment Advisory firm - (5/23/2001 Approved)California
Registered Investment Advisory firm - (4/5/2004 Cancelled)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
California(5/28/2012)
IAR
Texas(3/30/2015)
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
Current Firm
JK
J.P. KING ADVISORS, INC.
J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.
CRD#: 112109 / SEC#: 801-60296
RIA
Registered Investment Advisory firm - (5/23/2001 Approved)California
Registered Investment Advisory firm - (4/5/2004 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1600 South Main Street Suite 275, Walnut Creek, CA 94596-8810
Mailing Address
Phone number
(925) 935-1555
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 743,700,000 |
Red Flags
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Company Information
J.P. KING ADVISORS, INC.
CRD#: 112109Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
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