Adam J. Horning

PEAK FINANCIAL GUIDANCE LLC

Greenwood Village, CO 80111

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CRD#: 4508087

Professional summary

Adam James Horning, CFP®, ChFC®, CLU® is a registered financial advisor currently at PEAK FINANCIAL GUIDANCE LLC located in Greenwood Village, Colorado.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Adam has worked at 4 firms and has passed the Series 63, Series 66, SIE 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.

1. BUFFALO PEAKS, LLC, INVESTMENT RELATED: YES, PARKER, COLORADO, INSURANCE, MANAGING PRINCIPAL, SEPTEMBER 2019, 6 HOURS PER MONTH DURING, ALL DURING TRADING HOURS, SALES OF INSURANCE PRODUCTS. 2. 80449, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 03/06/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENTING MY CABIN ON AIR BNB AND VRBO FOR SHORT TERM RENTAL INCOME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Horning'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^®

Certified Financial Planner

Start date: 2012

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 9, 2020 - Present

PEAK FINANCIAL GUIDANCE LLC

Office #1: 6312 S Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111

RIA

CRD#: 305485

Greenwood Village, CO

Past

April 9, 2007 - December 6, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ENGLEWOOD, CO

Past

June 15, 2006 - December 6, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ENGLEWOOD, CO

Past

June 4, 2002 - March 27, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TAMPA, FL

Past

May 14, 2002 - March 27, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 14, 2002 - March 27, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Colorado
(1/9/2020)

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

Series 63

Date: 9/27/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/30/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2006

General Securities Representative Examination

Current Firm

PEAK FINANCIAL GUIDANCE LLC

CRD#: 305485 / SEC#:

Colorado

Registered Investment Advisory firm - (1/9/2020 Approved)

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Contact information

Main Address

6312 S Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111

Mailing Address

Phone number

(303) 667-5117

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 70,442,349

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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Adam J. Horning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Horning's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK FINANCIAL GUIDANCE LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2007

Series 66

Date: 5/30/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2006

Current Firm

PEAK FINANCIAL GUIDANCE LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK FINANCIAL GUIDANCE LLC

TRUST BUT VERIFY

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