Scott E. Ladner

HORIZON INVESTMENTS LLC

Charlotte, NC 28277

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CRD#: 3247453

Professional summary

Scott Evan Ladner is a registered financial advisor currently at HORIZON INVESTMENTS LLC located in Charlotte, North Carolina.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 55 and Series 7 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Evan Ladner's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 1, 2012 - Present

HORIZON INVESTMENTS LLC

Office #1: 6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277

RIA

CRD#: 109552

Charlotte, NC

Past

August 16, 2005 - May 26, 2006

PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773

CHICAGO, IL

Past

July 1, 2003 - March 23, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 1, 1999 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 13, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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".

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(1/1/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/27/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 11/9/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Current Firm

HORIZON INVESTMENTS LLC

HARIZON INVESTMENTS LLC | HORIZON INVESTMENTS LLC

CRD#: 109552 / SEC#: 801-57316

RIA

Registered Investment Advisory firm - (2/24/2000 Approved)

South Carolina

Registered Investment Advisory firm - (12/10/2003 Terminated)

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Contact information

Main Address

6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277

Mailing Address

Phone number

(704) 544-2399

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORIZON FORM ADV 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,481
AUM (Assets Under Management)	$ 5,357,028,030

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.

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Scott E. Ladner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Evan Ladner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK6 CAPITAL MANAGEMENT LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

HORIZON INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2011

Series 63

Date: 10/26/1999

Series 3

Date: 1/27/2000

Series 55

Date: 11/9/1999

Series 7

Date: 8/13/1999

Current Firm

HORIZON INVESTMENTS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON INVESTMENTS LLC

TRUST BUT VERIFY

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