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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-12
NJ RA APPROVED 2018-02-21
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • NJ RA
    APPROVED
    Since 2018-02-21

Branch Locations

500 Broad Street, Shrewsbury, NJ 07702 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Invest Financial Corporation Freehold NJ 08/2003 02/2018
Sun National Bank Freehold NJ 12/2001 02/2018
Lpl Financial Llc Linwood NJ 02/2018 02/2018
The Provident Bank South River NJ 02/2018 Present
Cetera Investment Services Llc St.CLoud MN 02/2018 Present
Cetera Investment Advisers Shrewsbury NJ 02/2018 Present
  • 08/2003 → 02/2018
    Invest Financial Corporation
    Freehold, NJ
  • 12/2001 → 02/2018
    Sun National Bank
    Freehold, NJ
  • 02/2018 → 02/2018
    Linwood, NJ
  • 02/2018 → Present
    The Provident Bank
    South River, NJ
  • 02/2018 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 02/2018 → Present
    Cetera Investment Advisers
    Shrewsbury, NJ
Previous Registrations
  • 2018-02-14 → 2018-03-02
    Atlantic City, NJ
    Linwood, NJ
    Northfield, NJ
  • 2012-10-25 → 2018-02-14
    Invest Financial Corporation
    Kendall Park, NJ
    Hillsborough, NJ
    Brigantine, NJ
    Glendora, NJ
    Trenton, NJ
    Princeton, NJ
    Trenton, NJ
    Lawrenceville, NJ
    Ventnor, NJ
    Rio Grande, NJ
    Salem, NJ
    Old Bridge, NJ
    Shrewsbury, NJ
    Manalapan, NJ
    Vineland, NJ
    Cherry Hill, NJ
    Pennington, NJ
    Linwood, NJ
    Freehold, NJ
    Linwood, NJ
    Northfield, NJ
    Mays Landing, NJ
    Appleton, WI
    Atlantic City, NJ
    Ventnor, NJ
    Atlantic City, NJ
    Collingswood, NJ
Other Businesses

1. 02/14/2018 - PROSPERIS FINANCIAL SOLUTIONS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-10-24
S63 Uniform Securities Agent State Law Examination 1988-06-02
  • S65 Uniform Investment Adviser Law Examination
    2012-10-24
  • S63 Uniform Securities Agent State Law Examination
    1988-06-02
Other Names
  • Arthur Norman Hornok
  • Arthur Hornak
  • Arthur N Hornak

View on SEC IAPD

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