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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

STEVEN HOWARD HORNSTEIN

Advisor at CETERA INVESTMENT ADVISERS LLC

WOODLAND HILLS, CA

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Search this name across graphsid dfx:ria:129bbfca-cf62-fda5-50f4-731e3b934674

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 2, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 2, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Jan 2, 1996
First registration: Sep 2, 2003
Dual registered: yes, broker-dealer
Other names: STEVE HORNSTEIN
IAPD individual key: 1833072

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	WOODLAND HILLS, CA	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jun 30, 2016	Sep 5, 2025	no	Woodland Hills, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 23, 2006	Jul 20, 2016	no	WOODLAND HILLS, CA\|VAN NUYS, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Sep 2, 2003	Mar 24, 2006	no	WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	AVANTAX ADVISORY SERVICES	Jul 20, 2016	Jun 30, 2016	-20	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	LPL FINANCIAL LLC	Mar 24, 2006	Mar 23, 2006	-1	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 30, 2016 to Sep 5, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 23, 2006 to Jul 20, 2016factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 2, 2003 to Mar 24, 2006factForm ADV

Dated events

No dated event names this entity yet.