AH
Andrew M. Horn
CETERA WEALTH SERVICES
Manasquan, NJ 08736
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CRD#: 860127
AH
Professional summary
Andrew Marshall Horn, who also goes by Andy Horn, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Manasquan, New Jersey.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1978. Andrew has worked at 9 firms and has passed the Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andy Horn
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Marshall Horn'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®
NoneExperience
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2317 Rt 34 Suite 1d & 1e, Manasquan, NJ 08736BD
CRD#: 13572
Manasquan, NJ
Past
October 9, 2019 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Manasquan, NJ
Past
March 25, 2017 - October 7, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALL TOWNSHIP, NJ
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WALL TOWNSHIP, NJ
Past
November 9, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
WALL TOWNSHIP, NJ
Past
January 18, 2002 - October 30, 2009
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
EATONTOWN, NJ
Past
November 15, 2001 - January 18, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 6, 1987 - November 29, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 28, 1983 - January 8, 1987
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
March 6, 1979 - August 18, 1981
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Past
December 1, 1978 - December 6, 1983
NEW ENGLAND SECURITIES
BD
CRD#: 615
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
New Jersey(8/10/2023)
Exams
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/1/1979
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Manasquan, NJ 08736TRUST BUT VERIFY
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