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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

PATRICK LEIF HORN

Advisor at CETERA INVESTMENT ADVISERS LLC

LAGUNA NIGUEL, CA | IRVINE, CA

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Search this name across graphsid dfx:ria:bb4fa2e0-d0ae-24b5-994b-fa423d5e5f8e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 7, 2001 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 12, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 12, 1995
First registration: Dec 7, 2001
Dual registered: yes, broker-dealer
Other names: PATRICK HORN
IAPD individual key: 2559951

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	Nov 12, 2020	n/a	yes	LAGUNA NIGUEL, CA\|IRVINE, CA	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Feb 3, 2012	Nov 12, 2020	no	SAN DIEGO, CA\|IRVINE, CA\|Laguna Hills, CA	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Jul 6, 2007	Feb 3, 2012	no	RENTON, WA	Previous registration
BROOKSTREET SECURITIES CORPORATION	n/a	Nov 5, 2004	Jul 13, 2007	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Mar 19, 2003	Oct 28, 2004	no	TUSTIN, CA	Previous registration
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Dec 7, 2001	Nov 25, 2002	no	IRVINE, 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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
PACIFIC WEST FINANCIAL CONSULTANTS INC	FIRST ALLIED ADVISORY SERVICES, INC.	Feb 3, 2012	Feb 3, 2012	0	Firm change	Other
BROOKSTREET SECURITIES CORPORATION	PACIFIC WEST FINANCIAL CONSULTANTS INC	Jul 13, 2007	Jul 6, 2007	-7	Firm change	Other
CITICORP INVESTMENT SERVICES	BROOKSTREET SECURITIES CORPORATION	Oct 28, 2004	Nov 5, 2004	8	Firm change	Other
SMART INVESTMENTS ADVISORY INCORPORATED	CITICORP INVESTMENT SERVICES	Nov 25, 2002	Mar 19, 2003	114	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 3, 2012 to Nov 12, 2020factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Jul 6, 2007 to Feb 3, 2012factForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 5, 2004 to Jul 13, 2007factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Mar 19, 2003 to Oct 28, 2004factForm ADV
→ SMART INVESTMENTS ADVISORY INCORPORATEDRegistered adviserregistration: previous registration
Dec 7, 2001 to Nov 25, 2002factForm ADV

Dated events

No dated event names this entity yet.