Michael G. Horton

CETERA INVESTMENT ADVISERS LLC

Kaneohe, HI 96744

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CRD#: 4435735

Professional summary

Michael George Horton, who also goes by Michael G Horton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kaneohe, Hawaii and CETERA INVESTMENT SERVICES LLC located in Kaneohe, Hawaii.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael G Horton

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.

NAME OF THE OTHER BUSINESS:Windward Football Club (Youth Soccer) INVESTMENT- RELATED:No ADDRESS OF THE OTHER BUSINESS:Kailua, HI 96734 YOUR POSITION OR TITLE:Treasurer NATURE OF THE OTHER BUSINESS:Volunteer START DATE:1/1/2017 APPROXIMATE NUMBER OF HOURS/MONTH:1 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Collect dues COMPENSATION :No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael George Horton'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

March 28, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 46-047 Kamehameha Hwy. #7, Kaneohe, HI 96744

RIA

CRD#: 105644

Kaneohe, HI

Current

March 28, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 46-047 Kamehameha Hwy. #7, Kaneohe, HI 96744Office #2: 848 Ala Lilikoi St. #119, Honolulu, HI 96818

CRD#: 15340

Kaneohe, HI

Past

February 8, 2021 - March 28, 2024

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

KANEOHE, HI

Past

February 8, 2021 - March 28, 2024

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

KANEOHE, HI

Past

December 22, 2020 - February 8, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Honolulu, HI

Past

December 22, 2020 - February 8, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

HONOLULU, HI

Past

May 3, 2017 - August 18, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

KAILUA, HI

Past

May 3, 2017 - August 18, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

KAILUA, HI

Past

July 12, 2006 - May 2, 2017

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

KAILUA, HI

Past

August 14, 2002 - May 2, 2017

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

KAILUA, HI

Past

October 18, 2001 - August 15, 2002

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

SAN FRANCISCO, CA

Past

August 13, 2001 - October 28, 2001

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, 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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(7/12/2024)

California
(4/24/2024)

Hawaii
(3/28/2024)

IAR

Hawaii
(3/28/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Michael G. Horton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael George Horton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

EMMETT A LARKIN COMPANY, INC.

ANDREW GARRETT INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2006

Series 63

Date: 10/25/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/10/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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