Neil Linden Barbour | 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.

Neil Linden Barbour was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1972. Neil had worked at 9 firms and has passed the Series 66, Series 7, Series 1 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

No

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 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

August 31, 2015 - September 13, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

SANTA ANA, CA

Past

May 3, 2007 - August 20, 2015

ULTIMATE WEALTHCARE, INCORPORATED

RIA

CRD#: 143503

IRVINE, CA

Past

February 17, 2006 - May 10, 2007

FINANCIAL WEST GROUP

RIA

CRD#: 16668

TUSTIN, CA

Past

January 12, 2006 - May 10, 2007

FINANCIAL WEST GROUP

BD

CRD#: 16668

RENO, NV

Past

November 28, 1989 - April 9, 1990

GLOBALVEST SECURITIES, (USA), INC

BD

CRD#: 15458

Past

December 11, 1985 - June 3, 1988

FINANCIAL MARKET SECURITIES

BD

CRD#: 10481

Past

December 15, 1981 - December 24, 1984

BOARDWALK CAPITAL CORPORATION

BD

CRD#: 10279

Past

February 11, 1981 - August 7, 1981

SAINT ANTHONY SECURITIES, INC.

BD

CRD#: 3476

Past

July 27, 1978 - October 9, 1980

SOUTHMARK FINANCIAL SERVICES, INC.

BD

CRD#: 6518

Past

September 12, 1972 - April 26, 1973

NEWPORT SECURITIES CORP

BD

CRD#: 1000001

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

IAR

Series 66

Date: 2/14/2006

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 1/11/2006

General Securities Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 7/10/1978

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 39

Date: 10/20/1983

Direct Participation Programs Principal 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

Neil L. Barbour

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ULTIMATE WEALTHCARE, INCORPORATED

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

GLOBALVEST SECURITIES, (USA), INC

FINANCIAL MARKET SECURITIES

BOARDWALK CAPITAL CORPORATION

SAINT ANTHONY SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

NEWPORT SECURITIES CORP

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2006

Series 7

Date: 1/11/2006

Series 1

Date: 7/10/1978

Series 39

Date: 10/20/1983

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

TRUST BUT VERIFY

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