David Roy Faust | 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.

David Roy Faust was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1989. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 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

May 7, 2014 - June 22, 2018

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Calimesa, CA

Past

March 7, 2007 - April 10, 2008

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

HIGHLAND, CA

Past

March 7, 2007 - April 10, 2008

CAPITAL FINANCIAL SERVICES, INC.

BD

CRD#: 8408

HIGHLAND, CA

Past

September 16, 2004 - March 7, 2007

UNITED HERITAGE FINANCIAL SERVICES, INC.

RIA

CRD#: 35316

REDLANDS, CA

Past

September 16, 2004 - March 7, 2007

UNITED HERITAGE FINANCIAL SERVICES, INC.

BD

CRD#: 35316

REDLANDS, CA

Past

February 28, 2003 - July 9, 2004

ALLSTATE FINANCIAL SERVICES, LLC

BD

CRD#: 18272

LINCOLN, NE

Past

August 7, 2002 - March 13, 2003

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

REDLANDS, CA

Past

January 9, 2002 - March 13, 2003

VOYA FINANCIAL ADVISORS, INC.

BD

CRD#: 2882

WINDSOR, CT

Past

February 9, 1999 - April 3, 2002

WOODBURY FINANCIAL SERVICES, INC.

BD

CRD#: 421

OAKDALE, MN

Past

September 9, 1998 - February 2, 1999

NYLIFE SECURITIES LLC

BD

CRD#: 5167

NEW YORK, NY

Past

October 2, 1997 - August 28, 1998

VOYA FINANCIAL ADVISORS, INC.

BD

CRD#: 2882

WINDSOR, CT

Past

March 30, 1994 - October 22, 1997

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD

CRD#: 5435

HOUSTON, TX

Past

March 29, 1993 - January 28, 1994

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

January 11, 1993 - March 15, 1993

HORNOR, TOWNSEND & KENT, LLC

BD

CRD#: 4031

CONSHOHOCKEN, PA

Past

November 13, 1992 - November 18, 1992

CENTURY INVESTORS OF AMERICA, INC.

BD

CRD#: 5322

Past

April 5, 1991 - May 1, 1992

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

January 10, 1989 - April 26, 1989

CENTURY INVESTORS OF AMERICA, INC.

BD

CRD#: 5322

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: 1/24/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 1/6/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/9/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 4/27/1998

General Securities 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

David R. Faust

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

VOYA FINANCIAL ADVISORS, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

MML INVESTORS SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

CENTURY INVESTORS OF AMERICA, INC.

MML INVESTORS SERVICES, LLC

CENTURY INVESTORS OF AMERICA, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2014

Series 63

Date: 12/13/1988

Series 7

Date: 1/6/1998

Series 6

Date: 1/9/1989

Series 24

Date: 4/27/1998

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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