Michael Wayne Obrien | 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 Wayne Obrien, who also goes by Mike Obrien, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Mike Obrien

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

October 12, 2011 - October 4, 2018

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CONYERS, GA

Past

March 20, 2008 - August 31, 2009

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

CONYERS, GA

Past

December 5, 2006 - March 24, 2008

HARBOUR INVESTMENTS, INC.

BD

CRD#: 19258

CONYERS, GA

Past

February 28, 2000 - January 20, 2005

CETERA ADVISORS LLC

BD

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

October 2, 1998 - February 28, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD

CRD#: 15708

BIRMINGHAM, AL

Past

July 10, 1996 - October 7, 1998

ADVANTAGE CAPITAL CORPORATION

BD

CRD#: 146

ATLANTA, GA

Past

November 12, 1992 - July 9, 1996

BERKSHIRE EQUITY SALES, INC.

BD

CRD#: 87

PITTSFIELD, MA

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: 7/29/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 11/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 2/17/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 11/6/1992

Investment Company Products/Variable Contracts Representative 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

Michael W. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USA FINANCIAL SECURITIES LLC

HARBOUR INVESTMENTS, INC.

CETERA ADVISORS LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

BERKSHIRE EQUITY SALES, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2011

Series 63

Date: 11/6/1992

Series 7

Date: 2/17/1998

Series 6

Date: 11/6/1992

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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