Barbara M. Abundiz
HORIZON WEALTH MANAGEMENT
LOS ANGELES, CA 90067
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CRD#: 5328472
Professional summary
Barbara M Abundiz, CFP® is a registered financial advisor currently at HORIZON WEALTH MANAGEMENT located in Los Angeles, California and LPL FINANCIAL LLC located in Los Angeles, California.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Barbara has worked at 2 firms and has passed the Series 63, 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. 05/04/2022 - BABS MICHAEL, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 05/13/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading. 2. 06/30/2022 - Horizon Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 05/20/2022 - 160 Hours Per Month/ 80 Hours During Securities Trading - I provide investment advisory services through Horizon Wealth Management, an independent investment advisor firm. I started this business activity in 05/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/06/2023 - HORIZON WEALTH WEST LLC - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 07/06/2023 - 5 Hours Per Month/ 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Barbara M Abundiz'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: 2016
Experience
Current
June 29, 2022 - Present
HORIZON WEALTH MANAGEMENT
Office #1: 1880 Century Park East Ste 200, Los Angeles, CA 90067RIA
CRD#: 170255
LOS ANGELES, CA
Current
November 14, 2008 - Present
LPL FINANCIAL LLC
Office #1: 1880 Century Park East Suite 1008, Los Angeles, CA 90067RIA
BD
CRD#: 6413
Los Angeles, CA
Past
August 3, 2022 - August 19, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLAREMONT, CA
Past
June 17, 2020 - July 27, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLAREMONT, CA
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".
HW
HORIZON WEALTH MANAGEMENT
HORIZON WEALTH MANAGEMENT | RW WEALTH MANAGEMENT | HORIZON WEALTH MANAGEMENT, LLC
CRD#: 170255 / SEC#: 801-79492
RIA
Registered Investment Advisory firm - (4/15/2014 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
Arizona(7/6/2020)
RR
California(12/19/2008)
IAR
California(6/29/2022)
RR
Florida(4/7/2022)
RR
Georgia(4/7/2022)
RR
New York(7/6/2020)
RR
Ohio(4/8/2022)
RR
Oregon(4/7/2022)
RR
Tennessee(8/27/2022)
RR
Utah(4/7/2022)
RR
Virginia(4/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HORIZON WEALTH MANAGEMENT
HORIZON WEALTH MANAGEMENT | RW WEALTH MANAGEMENT | HORIZON WEALTH MANAGEMENT, LLC
CRD#: 170255 / SEC#: 801-79492
RIA
Registered Investment Advisory firm - (4/15/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
22 Calendar Court 2nd Floor, La Grange, IL 60525
Mailing Address
Phone number
(708) 352-4300
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,073 |
| AUM (Assets Under Management) | $ 945,761,317 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
