Kenneth Wayne Kitchen | 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.

Kenneth Wayne Kitchen, who also goes by Ken Kitchen, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1973. Kenneth had worked at 25 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Ken Kitchen

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 23, 2014 - February 24, 2017

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Austin, TX

Past

August 30, 2011 - July 17, 2014

FA ADVISOR NETWORK, LLC.

RIA

CRD#: 154304

DALLAS, TX

Past

June 24, 2009 - May 12, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

AUSTIN, TX

Past

June 18, 2009 - May 12, 2010

NEXT FINANCIAL GROUP, INC.

BD

CRD#: 46214

AUSTIN, TX

Past

January 8, 2009 - February 24, 2010

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

AUSTIN, TX

Past

May 8, 2008 - December 1, 2008

SIGNAL SECURITIES, INC.

BD

CRD#: 15916

AUSTIN, TX

Past

June 5, 2007 - March 11, 2008

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

AUSTIN, TX

Past

May 22, 2007 - March 11, 2008

VOYA FINANCIAL PARTNERS, LLC

BD

CRD#: 34815

AUSTIN, TX

Past

May 13, 2004 - May 18, 2007

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

AUSTIN, TX

Past

January 16, 2004 - December 31, 2004

IMS SECURITIES, INC.

RIA

CRD#: 35567

AUSTIN, TX

Past

January 16, 2004 - May 18, 2007

IMS SECURITIES, INC.

BD

CRD#: 35567

AUSTIN, TX

Past

May 7, 2002 - September 30, 2003

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

ADA, MI

Past

August 24, 2001 - May 9, 2002

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD

CRD#: 16164

PHILADELPHIA, PA

Past

November 16, 2000 - July 25, 2001

PACVEST ASSOCIATES, INC.

BD

CRD#: 29583

WOODSTOCK, CT

Past

April 3, 2000 - November 15, 2000

PARK AVENUE SECURITIES LLC

BD

CRD#: 46173

NEW YORK, NY

Past

April 8, 1999 - March 20, 2000

GROVE POINT INVESTMENTS, LLC

BD

CRD#: 1763

ROCKVILLE, MD

Past

January 18, 1996 - February 26, 1999

OSAIC WEALTH, INC.

BD

CRD#: 23131

SCOTTSDALE, AZ

Past

June 6, 1994 - December 31, 1995

SUNAMERICA SECURITIES, INC.

BD

CRD#: 20068

PHOENIX, AZ

Past

December 1, 1993 - June 6, 1994

KEOGLER, MORGAN & COMPANY, INC.

BD

CRD#: 16546

ATLANTA, GA

Past

November 12, 1991 - November 9, 1993

CONSECO EQUITY SALES, INC.

BD

CRD#: 4125

CARMEL, IN

Past

April 24, 1989 - December 31, 1990

DERAND/PENNINGTON/BASS, INC.

BD

CRD#: 4679

Past

August 24, 1988 - May 13, 1989

B.C. CHRISTOPHER SECURITIES CO.

BD

CRD#: 60

Past

September 24, 1987 - October 6, 1987

SOUTHWEST RESOURCES, INC.

BD

CRD#: 18589

Past

January 2, 1987 - July 1, 1987

OLD SLIP CAPITAL MANAGEMENT, INC.

BD

CRD#: 7360

Past

May 9, 1986 - October 14, 1986

NEW ENGLAND SECURITIES

BD

CRD#: 615

Past

July 30, 1982 - October 19, 1984

SIGNATOR INVESTORS, INC.

BD

CRD#: 468

Past

January 31, 1982 - April 19, 1982

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD

CRD#: 5178

Past

May 1, 1973 - March 26, 1982

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD

CRD#: 3600

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

General Industry/Product Exam

RR

Series 1

Date: 4/27/1973

Registered 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

Kenneth W. Kitchen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FA ADVISOR NETWORK, LLC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

SIGNAL SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

IMS SECURITIES, INC.

USA FINANCIAL SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

PACVEST ASSOCIATES, INC.

PARK AVENUE SECURITIES LLC

GROVE POINT INVESTMENTS, LLC

OSAIC WEALTH, INC.

SUNAMERICA SECURITIES, INC.

KEOGLER, MORGAN & COMPANY, INC.

CONSECO EQUITY SALES, INC.

DERAND/PENNINGTON/BASS, INC.

B.C. CHRISTOPHER SECURITIES CO.

SOUTHWEST RESOURCES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

NEW ENGLAND SECURITIES

SIGNATOR INVESTORS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 1

Date: 4/27/1973

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

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