HP
Herbert L. Perlin
HORTER INVESTMENT MANAGEMENT
Virginia Beach, VA 23452
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CRD#: 1077507
HP
Professional summary
Herbert Louis Perlin, who also goes by Herb Perlin, is a registered financial advisor currently at HORTER INVESTMENT MANAGEMENT, LLC located in Virginia Beach, Virginia.
Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Herbert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herb Perlin
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: Perlin Rossen & Associates DBA Perlin Retirement Solutions, LLC
Investment Related?: Yes
Address of other business: 101 N. Lynnhaven Road, Suite 202, Virginia Beach VA 23452
Nature of other business: fixed business and marketing for securities
Your position: Owner
Start Date: 02/2003
How many hours you devote to the other business per month: 160
How many hours you devote to the other business during securities trading hours: 160
Briefly describe your duties: Provide security solutions for old and new clients, selling insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Louis Perlin'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 10, 2017 - Present
HORTER INVESTMENT MANAGEMENT, LLC
Office #1: 372 S. Independence Blvd Suite 107, Virginia Beach, VA 23452RIA
CRD#: 119880
Virginia Beach, VA
Past
August 26, 2003 - April 4, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
VIRGINIA BEACH, VA
Past
August 26, 2003 - April 4, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
VIRGINIA BEACH, VA
Past
December 8, 1999 - September 2, 2003
FINANCIAL SECURITY ADVISORY INC
RIA
CRD#: 110746
VA BEACH, VA
Past
October 20, 1999 - September 2, 2003
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
BD
CRD#: 43000
VIRGINIA BEACH, VA
Past
April 3, 1998 - October 20, 1999
INVESTORS SECURITY COMPANY, INC.
BD
CRD#: 2331
SUFFOLK, VA
Past
March 2, 1998 - March 24, 1998
INVESTORS SECURITY COMPANY, INC.
BD
CRD#: 2331
Past
March 22, 1996 - March 3, 1998
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 1, 1996 - April 17, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 3, 1983 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
January 22, 1983 - July 21, 1983
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
December 14, 1982 - July 21, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
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
Virginia(4/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 119880Virginia Beach, VA 23452TRUST BUT VERIFY
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Contact information
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