Michael Bernard Funcheon | 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.

Michael Bernard Funcheon, who also goes by Michael Funcheon, Mike Funcheon, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 15 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Michael Funcheon | Mike Funcheon

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 advisor shows no other business activity.

Blog Corner

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

January 20, 2017 - March 19, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CINCINNATI, OH

Past

June 9, 2015 - September 26, 2016

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

CINCINNATI, OH

Past

February 27, 2014 - October 30, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CINCINNATI, OH

Past

February 27, 2014 - October 30, 2014

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

CINCINNATI, OH

Past

March 8, 2012 - March 13, 2014

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

DUBLIN, OH

Past

October 1, 2009 - March 13, 2014

ONEAMERICA SECURITIES, INC.

BD

CRD#: 4173

DUBLIN, OH

Past

June 26, 2009 - September 16, 2009

ALLSTATE FINANCIAL SERVICES, LLC

BD

CRD#: 18272

CINCINNATI, OH

Past

July 11, 2006 - November 10, 2008

ALPS DISTRIBUTORS, INC.

BD

CRD#: 16853

DENVER, CO

Past

March 6, 2006 - July 19, 2006

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

CINCINNATI, OH

Past

January 5, 2006 - June 28, 2006

OSAIC SERVICES, INC.

BD

CRD#: 133763

CINCINNATI, OH

Past

July 7, 1997 - May 23, 2005

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

SMITHFIELD, RI

Past

April 8, 1997 - April 28, 1997

TRANSAMERICA CAPITAL, LLC

BD

CRD#: 8217

DENVER, CO

Past

May 20, 1996 - January 22, 1997

ALPS DISTRIBUTORS, INC.

BD

CRD#: 16853

DENVER, CO

Past

March 6, 1995 - March 4, 1996

INVEST FINANCIAL CORPORATION

BD

CRD#: 12984

APPLETON, WI

Past

August 3, 1994 - March 10, 1995

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

May 10, 1991 - December 10, 1993

BANC ONE SECURITIES CORPORATION

BD

CRD#: 16999

CHICAGO, IL

Past

May 9, 1990 - July 23, 1991

CHASE INVESTMENT SERVICES CORP.

BD

CRD#: 25574

CHICAGO, IL

Past

December 21, 1983 - August 27, 1990

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

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

IAR

Series 65

Date: 3/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

IAR

Series 66

Date: 1/24/2006

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 1/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/30/2014

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 2/10/1984

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/15/2009

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 8

Date: 6/27/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

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

Michael B. Funcheon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURE INVESTMENT MANAGEMENT, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

ALPS DISTRIBUTORS, INC.

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

OSAIC SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

TRANSAMERICA CAPITAL, LLC

ALPS DISTRIBUTORS, INC.

INVEST FINANCIAL CORPORATION

MML INVESTORS SERVICES, LLC

BANC ONE SECURITIES CORPORATION

CHASE INVESTMENT SERVICES CORP.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2012

Series 66

Date: 1/24/2006

Series 63

Date: 1/5/1984

SIE

Date: 10/30/2014

Series 3

Date: 2/10/1984

Series 7

Date: 12/17/1983

Series 24

Date: 10/15/2009

Series 8

Date: 6/27/1989

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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