Zachary C. Horner

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CRD#: 5644468

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Zachary Carl Horner, CFP®, who also goes by Zach Horner, was a registered financial professional .

Zachary is a previously registered financial professional and started their career in finance in 2010. Zachary had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Zach Horner

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) M HOLDINGS SECURITIES, INC.; INVESTMENT RELATED; ADDRESS: 1125 NW COUCH STREET, PORTLAND, OR 97209; BUSINESS: REGISTERED BROKER-DEALER; TITLE: REGISTERED REPRESENTATIVE; START DATE: 12/2014; 160 HOURS/MONTH; 160 HOURS/MONTH DURING BUSINESS HOURS; DUTIES: ENTITY IS MY BROKER-DEALER. 2) HUB INTERNATIONAL GREAT PLAINS, LLC; INVESTMENT RELATED; ADDRESS: 11516 MIRACLE HILLS DRIVE, SUITE 100, OMAHA, NE 68154; BUSINESS: INSURANCE BROKERAGE FIRM; TITLE: ASSISTANT VICE PRESIDENT, INVESTMENT SERVICES; START DATE: 12/2014; 160 HOURS/MONTH; 160 HOURS/MONTH DURING BUSINESS HOURS; DUTIES: FINANCAIL ADVICE BUILT AROUND GOAL-BASED PLANNING AND INVESTMENT PRINCIPALS. 3) HUB INVESTMENT ADVISORS, INC.; INVESTMENT RELATED; ADDRESS: 11516 MIRACLE HILLS DRIVE, SUITE 100, OMAHA, NE 68154; BUSINESS: REGISTERED INVESTMENT ADVISOR; TITLE: INVESTMENT ADVISOR; START DATE: 10/2018; 160 HOURS/MONTH; 160 HOURS/MONTH DURING BUSINESS HOURS; DUTIES: FINANCAIL ADVICE BUILT AROUND GOALS-BASED PLANNING AND INVESTMENT PRINCIPALS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 2019

Experience

Past

August 7, 2024 - September 10, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Lone tree, CO

Past

August 7, 2024 - September 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

October 31, 2018 - April 5, 2024

HUB INVESTMENT ADVISORS, INC

RIA

CRD#: 164600

DENVER, CO

Past

February 4, 2015 - April 4, 2024

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

April 24, 2013 - December 16, 2014

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

OMAHA, NE

Past

February 26, 2010 - April 21, 2011

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/16/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/2010

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: 2/25/2010

General Securities Representative Examination

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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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Firm Stability Insights

Zachary C. Horner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

HUB INVESTMENT ADVISORS, INC

M HOLDINGS SECURITIES, INC.

NORTHERN LIGHTS DISTRIBUTORS, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2018

Series 63

Date: 4/8/2010

SIE

Date: 10/1/2018

Series 7

Date: 2/25/2010

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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