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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

John Michael Horseman

Advisor at ALLWORTH FINANCIAL, L.P.

St. Louis, MO | FOLSOM, CA

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Search this name across graphsid dfx:ria:57f066a2-a89a-1103-e8cf-ee6ecf52a8a1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2002 to Sep 15, 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: ALLWORTH FINANCIAL, L.P.
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: Apr 29, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Apr 29, 1992
First registration: Jan 1, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 851636

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
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Dec 21, 2021	n/a	yes	FOLSOM, CA\|St. Louis, MO	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 29, 2017	Dec 22, 2021	no	CAPE GIRARDEAU, MO\|ST. LOUIS, MO\|FULTON, MO\|CAPE GIRARDEAU, MO	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	May 31, 2007	Dec 6, 2017	no	ST. LOUIS, MO\|FULTON, MO\|JEFFERSON CITY, MO\|CAPE GIRARDEAU, MO\|LOS ANGELES, CA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Feb 24, 2003	Feb 2, 2007	no	ST. LUIS, MO	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Feb 10, 2003	May 31, 2007	no	ST LOUIS, MO\|JEFFERSON CITY, MO\|FULTON, MO	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jan 1, 2002	Aug 22, 2002	no	ST. LOUIS, MO	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
LPL FINANCIAL LLC	ALLWORTH FINANCIAL, L.P.	Dec 22, 2021	Dec 21, 2021	-1	Firm change	Ibd to RIA
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	LPL FINANCIAL LLC	Dec 6, 2017	Nov 29, 2017	-7	Bulk transfer	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	May 31, 2007	Feb 24, 2003	-1,557	Firm change after gap	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Feb 2, 2007	May 31, 2007	118	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	ASSOCIATED SECURITIES CORP.	Aug 22, 2002	Feb 10, 2003	172	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:111167:MO:2021-12-22	Dec 22, 2021	Dec 21, 2021	CAPE GIRARDEAU, MO	Firm change

Relationships

Registered with (6)

→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: current employment
Dec 21, 2021 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 29, 2017 to Dec 22, 2021factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
May 31, 2007 to Dec 6, 2017factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Feb 10, 2003 to May 31, 2007factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Feb 24, 2003 to Feb 2, 2007factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jan 1, 2002 to Aug 22, 2002factForm ADV

Dated events

No dated event names this entity yet.