DH
Drew K. Horter
HORTER INVESTMENT MANAGEMENT
Cincinnati, OH 45249
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CRD#: 1049771
DH
Professional summary
Drew Kent Horter is a registered financial advisor currently at HORTER INVESTMENT MANAGEMENT, LLC located in Cincinnati, Ohio and TACTICAL FUND ADVISORS, LLC located in Cincinnati, Ohio.
Drew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Drew has worked at 7 firms and has passed the Series 63, Series 7, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The Name of the other business: Horter Financial Strategies LLC (Name change from Horter Capital Management in 2003) Investment Related?: YES Address of other business: 11726 Seven Gables Road Cincinnati, OH 45249 Nature of other business: Insurance Sales Your position: Owner Start Date:04/98 How many hours you devote to the other business per month: 5 hours a month servicing clients, 10 hours a month financial planning, charges for financial planning fees. How many hours you devote to the other business during securities trading hours: 10 Briefly describe your duties: Financial Planning, Servicing clients, Insurance Sales The Name of the other business: Tactical Fund Advisors Investment Related?: YES Address of other business: 8316 Cornell Road Cincinnati, OH 45249 Nature of other business: Manages Mutual Funds Your position: Manager Start Date: 06/2018 How many hours you devote to the other business per month: 20 How many hours you devote to the other business during securities trading hours: 20 Briefly describe your duties: Manager of Mutual Funds
CRS (Client Relationship Summary) - RIA
Click below to view Drew Kent Horter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 26, 2006 - Present
HORTER INVESTMENT MANAGEMENT, LLC
Office #1: 11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249RIA
CRD#: 119880
Cincinnati, OH
Current
July 1, 2019 - Present
TACTICAL FUND ADVISORS, LLC
Office #1: 11726 Seven Gables Rd, Cincinnati, OH 45249RIA
CRD#: 298049
Cincinnati, OH
Past
January 6, 2009 - March 13, 2009
CHARLES VISTA LLC
BD
CRD#: 132650
STATEN ISLAND, NY
Past
July 25, 1995 - January 5, 2007
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
CINCINNATI, OH
Past
July 15, 1986 - July 21, 1995
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
July 14, 1983 - July 18, 1986
OSAIC FS, INC.
BD
CRD#: 3870
Past
June 25, 1982 - July 27, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(12/6/2016)
IAR
Ohio(4/26/2006)
IAR
Texas(1/30/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/4/1989
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HI
HORTER INVESTMENT MANAGEMENT, LLC
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS
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)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 2,136 |
| AUM (Assets Under Management) | $ 277,989,460 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HORTER INVESTMENT MANAGEMENT, LLC
CRD#: 119880Cincinnati, OH 45249TRUST BUT VERIFY
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