DH
Donald C. Horne
CETERA INVESTMENT ADVISERS LLC
WARWICK, RI 02886
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CRD#: 2822346
DH
Professional summary
Donald Charles Horne, AIF®, CFP®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warwick, Rhode Island and CETERA WEALTH SERVICES, LLC located in Warwick, Rhode Island.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Donald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Life Transitions
Comprehensive Financial Planni...
Insurance Planning
Estate Planning
Investment Planning
Social Security Planning
Long-term Care
Retirement Planning
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.
1) MAYA FINANCIAL CORP INC POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2004 ADDRESS: , Warwick RI , United States DESCRIPTION: Owner 2) PFG HOLDINGS LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2008 ADDRESS: , Warwick RI , United States DESCRIPTION: Owner 3) NAME OF OTHER BUSINESS: LISA REGO HORNE MEMORIAL FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDIENTIAL LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 03/2017; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE OPERATIONS OF THIS NON PROFIT, ANNUAL TAX FILING FOR THE ORGANIZATION ; 4) PFG HOLDINGS LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2008 ADDRESS: 117 Metro Center Blvd, Suite 2008, Warwick RI 02886, United States DESCRIPTION: Real estate holding company 5) ELITE BROKERAGE SERVICES INC POSITION: OWNER NATURE: S CORP, INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2008 ADDRESS: SAME AS REGISTERED LOCATION, DESCRIPTION OF DUTIES: OVERSEE ONGOING CONCERN OF CURRENT S-CORP, BILL-PAY AND ACH ACTIVITIES: 6) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 05/2013; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 7) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/1999, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, CFO/VP, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: MINORITY OWNER/ADVISOR & FIRM BUSINESS CONSULTING SERVICES/FISCAL PLANNING/COMPENSATION PLANNING/HIRING; 8) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/1999, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENTCFO, OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 9) NAME OF OTHER BUSINESS: DONALD C. HORNE, NOTARY PUBLIC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: NOTARY, START DATE: 05/2023, POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: PROVIDES NOTARIAL SERVICES; 10) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/1997; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Donald Charles Horne'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 117 Metro Ctr Blvd Ste 2008, Warwick, RI 02886Office #2: 35 South County Commons Way Unit D5, South Kingstown, RI 02879RIA
CRD#: 105644
WARWICK, RI
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 117 Metro Center Boulevard Suite 2008, Warwick, RI 02886Office #2: 35 South County Commons Way Unit D5, South Kingstown, RI 02879BD
CRD#: 13572
Warwick, RI
Past
January 2, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WARWICK, RI
Past
December 21, 1999 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WARWICK, RI
Past
November 27, 1996 - November 24, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
California(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Florida(8/11/2023)
RR
Hawaii(8/23/2023)
RR
Illinois(8/10/2023)
RR
Louisiana(6/5/2025)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
New Hampshire(8/10/2023)
RR
New York(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Rhode Island(8/10/2023)
IAR
Rhode Island(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Vermont(7/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Warwick, RI 02886TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
