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John Horseman

Allworth Financial, L.P.
41 Years of Experience
St. Louis, MO
4 DisclosuresBroker
View SEC Summary
View SEC Summary

John Horseman is a registered investment advisor at Allworth Financial, L.P., based in St. Louis, MO, with 41 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 29,297 clients with $34B in assets under management.

Allworth Financial, L.P.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
319 advisors
Number of Clients
29,297 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$33.6B

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$2,500
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum fee is 2.00% per year, subject to a $2,500 annual minimum fee. Fees are negotiable and can vary based on specific client circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3 Cityplace Dr, Suite 290, St. Louis, MO, 63141

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2019
Denied
Customer Dispute
April 2013
Closed-No Action
Customer Dispute
April 2005
Settled
Customer Dispute
March 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a trustee for the Phoenix Art Museum and President of the Board of Commissioners for the St. Louis Art Museum, providing advice and guidance. These activities are not investment-related and take a few hours per week in total.

Employment History
Current Registrations
Allworth Financial, L.P.
December 2021 - Present · 4 yrs 10 mos
Aw SecuritiesBroker
December 2021 - Present · 4 yrs 10 mos
Previous Registrations
LPL Financial LLC
November 2017 - December 2021 · 4 yrs 1 mo
LPL Financial LLCBroker
November 2017 - December 2021 · 4 yrs 1 mo
National Planning Corporation ("npc of America" in Fl & Ny)
May 2007 - December 2017 · 10 yrs 7 mos
National Planning CorporationBroker
May 2007 - November 2017 · 10 yrs 6 mos
Associated Planners Investment Advisory INC
February 2003 - February 2007 · 4 yrs
Associated Securities CORP.
February 2003 - May 2007 · 4 yrs 3 mos
Associated Securities CORP.Broker
August 2002 - May 2007 · 4 yrs 9 mos
Prudential Securities Incorporated
January 2002 - August 2002 · 7 mos
Prudential Securities IncorporatedBroker
February 2000 - August 2002 · 2 yrs 6 mos
Painewebber IncorporatedBroker
October 1994 - February 2000 · 5 yrs 4 mos
John Hancock Distributors, INC.Broker
October 1992 - October 1994 · 2 yrs
John Hancock Mutual Life Insurance CompanyBroker
October 1992 - October 1994 · 2 yrs
Metlife Securities INC.Broker
May 1992 - October 1992 · 5 mos
Metropolitan Life Insurance CompanyBroker
May 1992 - October 1992 · 5 mos
Ventana Financial CorporationBroker
July 1986 - October 1986 · 3 mos
Boettcher & Company, INC.Broker
April 1985 - October 1985 · 6 mos
Contisecurities, INC.Broker
December 1983 - October 1984 · 10 mos
Prudential-Bache Securities INC.Broker
May 1982 - January 1984 · 1 yr 8 mos
E. F. Hutton & Company INCBroker
March 1982 - May 1982 · 2 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1980 - March 1982 · 1 yr 6 mos
E. F. Hutton & Company INCBroker
February 1979 - September 1980 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - February 1979 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
May 1978 - September 1978 · 4 mos
State Registrations31 states
ALARAZCAFLGAIAILKSKYLAMDMIMNMOMSMTNCNENJNVNYOHOKORPASCTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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