Johann Klaassen has been President/President/Principal Shareholder/Chief Compliance Officer of Horizons Sustainable Financial Services since January 2023, is a control person of the firm and directly owns between 50% and 75% of it. Johann Klaassen holds a B.A. from St. John's College, a Master's degree in Philosophy from Washington University in St. Louis and a PhD in Philosophy from Washington University in St. Louis.
Horizons Sustainable Financial Services, Inc. is a Santa Fe, NM firm with $151M under management, 310 clients and 6 advisers across 6 offices, as of its January 2026 filing.
Johann A. Klaassen is CEO and Chief Investment Officer of Horizons Sustainable Financial Services. He develops asset allocation strategies and oversees investment policy for Horizons' individual and institutional clients. He started in the securities industry in the fall of 2000 at T. Rowe Price. In mid-2001 he joined First Affirmative Financial Network, rising to Vice President of Investments Services.
Johann Klaassen’s longest registration is the current one, 13 years at Horizons Sustainable Financial Services since 2013. Before joining Horizons Sustainable Financial Services in 2025, Johann Klaassen was registered through Cambridge Investment Research Advisors, Inc. and First Affirmative Financial Network LLC.
- – present · 13 yearsSanta Fe, NM · Adviser representative · Firm CRD 164970
- Cambridge Investment Research Advisors, Inc.– · under a yearPalmer Lake, CO · Adviser representative · Firm CRD 134139
- First Affirmative Financial Network LLC– · 10 yearsColorado Springs, CO · Adviser representative · Firm CRD 109036
Professional designations
Listed by Horizons Sustainable Financial Services
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Accredited Investment Fiduciary (AIF®)
Investment adviser representative registrations
Johann Klaassen is registered as an investment adviser representative in 2 states. Each was approved in January 2025.
- New MexicoSince 14 January 2025
- TexasSince 13 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 May 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 December 2000 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 November 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Johann Albert Klaassen
- CRD
- 4280579
- Firm
- Horizons Sustainable Financial Services · CRD 164970
- Role
- President/President/Principal Shareholder/Chief Compliance Officer
- Office
- 535 CERRILLOS ROAD, SUITE A2, Santa Fe, NM 87501
- Registration
- Investment adviser registration
- In the industry since
- July 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- horizonssfs.com
Where does Johann Klaassen work?
Johann Klaassen has been President/President/Principal Shareholder/Chief Compliance Officer of Horizons Sustainable Financial Services, Inc. since January 2023, and is a control person of the firm.
Is Johann Klaassen a financial advisor?
Yes. Johann Klaassen has a current investment-adviser registration in New Mexico and Texas, through Horizons Sustainable Financial Services since January 2025.
How many years of experience does Johann Klaassen have?
Johann Klaassen has 24 years in the financial industry, since July 2002, across 3 adviser firms.
What exams has Johann Klaassen passed?
Johann Klaassen has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in November 2000.
Where did Johann Klaassen work before Horizons Sustainable Financial Services?
Before Horizons Sustainable Financial Services, Johann Klaassen was registered through Cambridge Investment Research Advisors, Inc., January 2013 to July 2013; First Affirmative Financial Network LLC, June 2002 to January 2013.
Where is Johann Klaassen based?
Johann Klaassen’s registered office is in Santa Fe, NM.
Is Johann Klaassen registered with FINRA?
No. Johann Klaassen has no current broker registration.
Is Johann Klaassen a CFP?
Horizons Sustainable Financial Services lists Johann Klaassen with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Johann Klaassen’s record?
Search CRD 4280579 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Johann Klaassen’s full registration record.