Carlos Joseph Hornbrook

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 12/2005 → 11/2023
  Fsc Securities Corporation, Inc
  New Orleans, LA
• 03/2007 → Present
  Pjm Safety Supplies
  New Orleans, LA
• 11/2023 → Present
  Osaic Wealth, Inc.
  New Orleans, LA

Previous Registrations

• 2005-12-01 → 2023-11-03
  Fsc Securities Corporation
  New Orleans, LA
  New Orleans, LA
• 2003-04-15 → 2005-04-01
  Pan-American Investment Advisers, Inc.
  New Orleans, LA

Other Businesses

1) INSURANCE: CARLOS HORNBROOK, INVESTMENT RELATED, 700 SOUTH PETERS # 315 NEW ORLEANS LA 70130, OWNER, 1986, 12 HRS/MTH, 6 DURING TRADING HRS, SELL LIFE AND HEALTH INSURANCE. 2) HORNBROOK LAW FIRM; ATTORNEY AT LAW; NOT INVESTMENT RELATED; 700 S. PETERS STREET SUITE 315, NEW ORLEANS, LA 70130; OWNER; 10HOURS PER MONTH DURING SECURITIES HOURS. 3) REAL ESTATE: TALBOT REALTY GROUP, INVESTMENT RELATED, 700 SOUTH PETERS # 315 NEW ORLEANS LA 70130, REAL ESTATE AGENT, APRIL 1,2009, 5 TO 10 HRS/MTH, 0 DURING TRADING HRS, REFER CLIENTS TO OTHER AGENTS AND SPLIT COMMISSIONS. 4) PJM SAFETY SUPPLIES, NON-INVESTMENT RELATED, 700 SOUTH PETERS #315, NEW ORLEANS, LA 70130 OWNER, STARTED 3/1/2007 , 20 HRS/MONTH, 1-3 HRS DURING TRADING HRS, INDUSTRIAL SALES/ DUTIES INCLUDE ALL SALES ACTIVITIES. 5) HORNBROOK LAW FIRM POSITION: Attorney at Law NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 12/01/2015 ADDRESS: 700 S Peters St #315, New Orleans LA 70130 DESCRIPTION: I am a attorney at law andwill be doing legal work in areas such as criminal law, domestic law and estate planning law. 6) THE HORNBROOK LAW FIRM POSITION: President NATURE: Law Firm that is anLLC that isapproved by the NFLPA to represent athlete. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 35 START DATE: 12/19/2017 ADDRESS: 700 South Peters St #315, New Orleans LA 70130, United States DESCRIPTION: I will reperent NFL football players in contract negotiaions 7) HORNBROOK REALTY GROUP POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2021 ADDRESS: 700 S Peters Street, 315, New Orleans LA 70130, United States DESCRIPTION: Real estate agent/broker

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-07-03
• S63 Uniform Securities Agent State Law Examination
  1992-06-08