William Thomas Hall JR | 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.

William Thomas Hall JR, who also goes by Bill Hall Jr, Rusty Hall, was a registered financial advisor .

William is a previously registered financial advisor and started their career in finance in 1973. William had worked at 14 firms and has passed the Series 63, Series 6, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Bill Hall Jr | Rusty Hall

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

June 27, 2011 - September 24, 2012

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

BERTRAM, TX

Past

June 20, 2005 - December 7, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

April 29, 2005 - December 7, 2007

VALIC FINANCIAL ADVISORS, INC.

BD

CRD#: 42803

HOUSTON, TX

Past

October 8, 1999 - March 8, 2000

VESTAX SECURITIES CORPORATION

BD

CRD#: 10332

HUDSON, OH

Past

November 13, 1997 - June 15, 1998

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

EL SEGUNDO, CA

Past

November 13, 1990 - July 6, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Past

July 17, 1990 - October 10, 1990

DERAND/PENNINGTON/BASS, INC.

BD

CRD#: 4679

Past

November 28, 1988 - April 19, 1990

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

November 28, 1988 - April 19, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

MINNEAPOLIS, MN

Past

July 8, 1988 - December 31, 1988

DERAND/PENNINGTON/BASS, INC.

BD

CRD#: 4679

Past

November 7, 1986 - July 8, 1988

FINANCIAL SYNERGIES EQUITIES, INC.

BD

CRD#: 7550

Past

February 21, 1984 - October 10, 1986

SOUTHMARK FINANCIAL SERVICES, INC.

BD

CRD#: 6518

Past

September 30, 1982 - January 13, 1984

JOHNSON & JOUNET SECURITIES

BD

CRD#: 10628

Past

April 22, 1975 - February 16, 1981

NEW ENGLAND SECURITIES

BD

CRD#: 615

Past

September 26, 1974 - April 18, 1975

CORNERSTONE FINANCIAL SERVICES, INC.

BD

CRD#: 953

Past

June 26, 1973 - March 23, 1974

NEW ENGLAND SECURITIES

BD

CRD#: 615

Past

April 24, 1973 - June 29, 1973

VOYA FINANCIAL ADVISORS, INC.

BD

CRD#: 2882

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

Series 63

Date: 4/26/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 4/28/2005

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 4/17/1973

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/18/1985

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

William T. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VESTAX SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DERAND/PENNINGTON/BASS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

DERAND/PENNINGTON/BASS, INC.

FINANCIAL SYNERGIES EQUITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

JOHNSON & JOUNET SECURITIES

NEW ENGLAND SECURITIES

CORNERSTONE FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/2005

Series 6

Date: 4/28/2005

Series 1

Date: 4/17/1973

Series 24

Date: 1/18/1985

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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