ST
Stanley E. Thims
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CRD#: 2021789
ST
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.
Stanley Edward Thims JR, CFP®, who also goes by Stan Thims Jr, Stanley Edward Thims, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1990. Stanley had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 51 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stan Thims Jr | Stanley Edward Thims
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: PLAN NOW
Investment Related?: YES
Address of other business: Same as before Summer: 427 New Gloucester Rd. North Yarmouth ME 04097///Winter 8225 Danbury Blvd. Apt 205 Naples FL 34120
Nature of other business: Planning for Income and Financial needs
Your position: Owner and Planner
Start Date: October 2017
How many hours you devote to the other business per month: 40 plus hours per week
How many hours you devote to the other business during securities trading hours: Accounting only maybe 1 hour per week
Briefly describe your duties: Meet with prospects and clients to identify their wants and financial needs for their long and short term planning needs. Fulfill their needs with investments managed by Horter Investment Management LLC and supplement other areas of financial needs and risks with fixed products like long Term Care, Disability Ins.,Term Life and Indexed life and Annuities.
The Name of the other business: Wealth Planning Services Inc.
Investment Related?: No
Address of other business: 427 New Gloucester Rd No. Yarmouth, ME 04097
Nature of other business: Corporate Name Only
Your position: President
Start Date: Sept. 1997
How many hours you devote to the other business per month: 0
How many hours you devote to the other business during securities trading hours:0
Briefly describe your duties: It is being used by name for my corporation and not used for business marketing or promotions
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®
CFP®
Start date: 2000
Experience
Past
November 2, 2017 - August 15, 2023
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
North Yarmouth, ME
Past
October 30, 2015 - October 19, 2017
EQUITY SERVICES, INC.
RIA
CRD#: 265
NORTH YARMOUTH, ME
Past
March 3, 2015 - August 24, 2015
EQUITY SERVICES, INC.
RIA
CRD#: 265
NORTH YARMOUTH, ME
Past
March 2, 2015 - October 19, 2017
EQUITY SERVICES, INC.
BD
CRD#: 265
NORTH YARMOUTH, ME
Past
May 30, 2008 - February 6, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
North Yarmouth, ME
Past
January 3, 2007 - February 17, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
NORTH YARMOUTH, ME
Past
May 15, 2002 - January 3, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
NORTH YARMOUTH, ME
Past
April 3, 1997 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
NORTH YARMOUTH, ME
Past
December 1, 1995 - April 2, 1997
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
March 16, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
March 16, 1990 - January 30, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General 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
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.
