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RH

Richard L. Horner

ATLANTIS WEALTH ADVISORS LLC
ELKHART, IN 46516
Some features on this profile are disabled
CRD#: 2210682
RH

Professional summary

Richard Lee Horner JR is a registered financial advisor currently at ATLANTIS WEALTH ADVISORS LLC located in Elkhart, Indiana.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Richard Lee Horner JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 31, 2015 - Present

ATLANTIS WEALTH ADVISORS LLC

Office #1: 2300 Middlebury St., Elkhart, IN 46516
RIA
CRD#: 169956
ELKHART, IN
Past

August 21, 2015 - May 5, 2017

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Elkhart, IN
Past

November 28, 2006 - August 21, 2015

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
ELKHART, IN
Past

November 28, 2006 - August 21, 2015

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
ELKHART, IN
Past

July 28, 1999 - November 27, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA
CRD#: 3600
ELKHART, IN
Past

February 4, 1992 - November 27, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
ELKHART, IN

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".
AW
ATLANTIS WEALTH ADVISORS LLC
ATLANTIS WEALTH ADVISORS LLC | YOSEPH FINANCIAL STOREHOUSE | TODD RHINE PLANNING AND FINANCIAL PROFILE CLINIC, INC. | SOWER WEALTH GROUP | HORNER INVESTMENT GROUP | CAMELOT ADVISORS, LLC

CRD#: 169956 / SEC#: 801-79013

RIA
Registered Investment Advisory firm - (2/3/2014 Approved)

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
Indiana
(8/31/2015)
IAR
Texas
(4/11/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 6/4/1993
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/3/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/31/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2001
General Securities Principal Examination

Current Firm

AW
ATLANTIS WEALTH ADVISORS LLC
ATLANTIS WEALTH ADVISORS LLC | YOSEPH FINANCIAL STOREHOUSE | TODD RHINE PLANNING AND FINANCIAL PROFILE CLINIC, INC. | SOWER WEALTH GROUP | HORNER INVESTMENT GROUP | CAMELOT ADVISORS, LLC

CRD#: 169956 / SEC#: 801-79013

RIA
Registered Investment Advisory firm - (2/3/2014 Approved)
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Contact information

Main Address
1700 Woodlands Dr. Suite 100, Maumee, OH 43537
Mailing Address
Phone number
(419) 794-0538
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ATLANTIS WEALTH ADVISORS ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts773
AUM (Assets Under Management)$ 146,702,423

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.

Company Information

ATLANTIS WEALTH ADVISORS LLC

CRD#: 169956Elkhart, IN 46516

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