Horace W. Card

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CRD#: 866791

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.

Horace William Card III, who also goes by Horace William Card, was a registered financial professional .

Horace is a previously registered financial professional and started their career in finance in 1979. Horace had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 1, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Horace William Card

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.) CARD INVESTMENT GROUP, INC.; "DOING BUSINESS AS" (DBA); START DATE: 5/19/2004 2.) CARD INSURANCE GROUP; AGENT; INSURANCE; START DATE 05/19/2015 3.) Martin Insurance Partners LLC; Agent; Insurance (Fixed/Life/Health/P&C); start date 06/13/2016; 80 hours per month. 4.) Cavelier Associates; Agent; Insurance (Fixed/Life/Health/P&C); start date 10/20/2016; 12 hours per month. 5.) 1118 EAST HARIISON LLC; OWNER; REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT); START DATE 01/15/2020; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary)

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

April 11, 1988 - June 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 30, 1979 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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.

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.

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/19/1985

Registered Options Principal Examination

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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Horace W. Card

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/20/1989

Series 7

Date: 1/15/1983

Series 1

Date: 5/25/1979

Series 53

Date: 11/7/1988

Series 24

Date: 6/6/1988

Series 4

Date: 3/19/1985

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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