Daniel Rivera

Professional summary

Daniel Rivera was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Daniel had worked at 15 firms, which includes HORTER INVESTMENT MANAGEMENT LLC, CHASE INVESTMENT SERVICES CORP., ALLSTATE FINANCIAL SERVICES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., 1717 CAPITAL MANAGEMENT COMPANY, CETERA WEALTH SERVICES LLC, DAVID LERNER ASSOCIATES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, COLEMAN & COMPANY SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, PRUCO SECURITIES LLC..

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

July 21, 2014 - July 17, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

BRIDGEWATER, NJ

Past

October 16, 2007 - April 30, 2008

CHASE INVESTMENT SERVICES CORP.

BD

CRD#: 25574

STATEN ISLAND, NY

Past

July 26, 2005 - March 30, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD

CRD#: 18272

BROOKLYN, NY

Past

September 9, 2004 - July 12, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

NEW YORK, NY

Past

September 9, 2004 - July 12, 2005

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SPRINGFIELD, MA

Past

February 28, 2003 - April 26, 2004

1717 CAPITAL MANAGEMENT COMPANY

BD

CRD#: 4082

NEWARK, DE

Past

August 16, 2002 - March 25, 2003

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

EL SEGUNDO, CA

Past

June 6, 2002 - July 8, 2002

DAVID LERNER ASSOCIATES, INC.

BD

CRD#: 5397

SYOSSET, NY

Past

March 22, 2000 - August 3, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Past

April 7, 1999 - February 22, 2000

COLEMAN & COMPANY SECURITIES, INC.

BD

CRD#: 1486

NEW YORK, NY

Past

May 15, 1998 - December 23, 1998

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NEW YORK, NY

Past

November 21, 1997 - March 30, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

NEW YORK, NY

Past

November 21, 1997 - March 30, 1998

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SPRINGFIELD, MA

Past

May 6, 1997 - September 9, 1997

CITICORP INVESTMENT SERVICES

BD

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 24, 1997 - May 5, 1997

CHASE INVESTMENT SERVICES CORP.

BD

CRD#: 25574

CHICAGO, IL

Past

September 27, 1996 - December 31, 1996

ROBERT W. BAIRD & CO. INCORPORATED

BD

CRD#: 8158

MILWAUKEE, WI

Past

September 27, 1996 - December 31, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD

CRD#: 2881

MILWAUKEE, WI

Past

April 20, 1995 - August 9, 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

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: 6/5/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 8/28/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 4/18/1995

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

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

ALLSTATE FINANCIAL SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

CETERA WEALTH SERVICES, LLC

DAVID LERNER ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COLEMAN & COMPANY SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITICORP INVESTMENT SERVICES

CHASE INVESTMENT SERVICES CORP.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/2014

Series 63

Date: 10/17/1995

Series 7

Date: 8/28/1998

Series 6

Date: 4/18/1995

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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