Adam James Horning

Employer firm

Peak Financial Guidance LLC CRD 305485

$88.5M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2006 → 11/2019
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 08/2009 → 11/2019
  Northwestern Mutual Investment Services, Llc
  Englewood, CO
• 07/2013 → 11/2019
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 11/2019 → Present
  Peak Financial Guidance Llc
  Parker, CO

Previous Registrations

• 2007-04-09 → 2019-12-06
  Northwestern Mutual Investment Services, Llc
  Denver, CO
  Englewood, CO
• 2002-06-04 → 2003-03-27
  Ameriprise Financial Services, Llc
  Tampa, FL

Other Businesses

1. BUFFALO PEAKS, LLC, INVESTMENT RELATED: YES, PARKER, COLORADO, INSURANCE, MANAGING PRINCIPAL, SEPTEMBER 2019, 6 HOURS PER MONTH DURING, ALL DURING TRADING HOURS, SALES OF INSURANCE PRODUCTS. 2. 80449, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 03/06/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, RENTING MY CABIN ON AIR BNB AND VRBO FOR SHORT TERM RENTAL INCOME

Exams

• S63 Uniform Securities Agent State Law Examination
  2007-09-27
• S66 Uniform Combined State Law Examination
  2002-05-30

Designations

• Certified Financial Planner
• Chartered Financial Consultant