Daniel Robert Lewis | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Robert Lewis, who also goes by Daniel R Lewis, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 13 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Daniel R Lewis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INVESTMENT RELATED COMPANIES: CERTIFIED ASSET MANAGEMENT, INC. AND TAX FREE RETIREMENT, INC. PRIMARY BUSINESS IS INSURANCE AND BUSINESS, ESTATE, RETIREMENT CONSULTING, BUSINESS VALUATIONS AND COLLEGE PLANNING. 73660 HIGHWAY 111 SUITE 6 PALM DESERT, CA 92260 HOURS: 40 PER MONTH

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 12, 2012 - August 15, 2023

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

PALM DESERT, CA

Past

October 11, 2002 - October 26, 2004

THE O.N. EQUITY SALES COMPANY

BD

CRD#: 2936

CINCINNATI, OH

Past

June 4, 2001 - September 26, 2002

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

IRVINE, CA

Past

April 3, 2001 - September 26, 2002

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

October 12, 1999 - October 20, 2000

PARK AVENUE SECURITIES LLC

BD

CRD#: 46173

NEW YORK, NY

Past

December 18, 1997 - September 28, 1999

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

March 12, 1996 - August 12, 1997

THE O.N. EQUITY SALES COMPANY

BD

CRD#: 2936

CINCINNATI, OH

Past

November 21, 1995 - February 21, 1996

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD

CRD#: 5178

FORT WAYNE, IN

Past

February 17, 1994 - October 17, 1995

KEOGLER, MORGAN & COMPANY, INC.

BD

CRD#: 16546

ATLANTA, GA

Past

February 21, 1991 - November 24, 1992

SUNAMERICA SECURITIES, INC.

BD

CRD#: 20068

PHOENIX, AZ

Past

January 28, 1988 - February 12, 1991

LOCUST STREET SECURITIES, INC.

BD

CRD#: 1703

DES MOINES, IA

Past

October 27, 1986 - June 2, 1988

1717 CAPITAL MANAGEMENT COMPANY

BD

CRD#: 4082

Past

October 15, 1986 - December 14, 1987

TITAN/VALUE EQUITIES GROUP, INC.

BD

CRD#: 6359

Past

April 14, 1986 - October 16, 1986

SOUTHMARK FINANCIAL SERVICES, INC.

BD

CRD#: 6518

Past

October 29, 1985 - April 28, 1986

PPS SECURITIES CORP.

BD

CRD#: 10244

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HI

HORTER INVESTMENT MANAGEMENT, LLC

CRD#: 119880 / SEC#: 801-67471

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

California

Registered Investment Advisory firm - (1/31/2007 Terminated)

Delaware

Registered Investment Advisory firm - (4/23/2007 Terminated)

Ohio

Registered Investment Advisory firm - (1/31/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

Series 63

Date: 10/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 22

Date: 4/7/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 10/28/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HI

HORTER INVESTMENT MANAGEMENT, LLC

CRD#: 119880 / SEC#: 801-67471

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

California

Registered Investment Advisory firm - (1/31/2007 Terminated)

Delaware

Registered Investment Advisory firm - (4/23/2007 Terminated)

Ohio

Registered Investment Advisory firm - (1/31/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249

Mailing Address

Phone number

(513) 984-9933

Established

Firm type

Fiscal year end

# of Employees

41

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIM ADV PART 2A_2024 (11/7/2025)

Regulatory assets under management

Total Number of Accounts	2,136
AUM (Assets Under Management)	$ 277,989,460

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Daniel R. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

PARK AVENUE SECURITIES LLC

WALNUT STREET SECURITIES, INC.

THE O.N. EQUITY SALES COMPANY

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

KEOGLER, MORGAN & COMPANY, INC.

SUNAMERICA SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

TITAN/VALUE EQUITIES GROUP, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

PPS SECURITIES CORP.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1985

Series 22

Date: 4/7/1986

Series 6

Date: 10/28/1985

Current Firm

HORTER INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORTER INVESTMENT MANAGEMENT, LLC

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