Keith Andrew Schmidt | 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.

Keith Andrew Schmidt, who also goes by Keith Schmidt, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1997. Keith had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Keith Schmidt

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 name of the other business: Consultant Pacific Coast Banking School; Whether the business is investment-related; NO: the address of the other business: 2223 112th ave ste 200, Bellevue, WA 98004; nature of the other business: On an annual basis I act a consultant to roughly 10 students regarding a management/thesis paper they are responsible for completing. I also grade the completed work; your position: Management Paper Consultant; title, or relationship with the other business: Consultant; the start date of your relationship: Spring 2012; the approximate number of hours/month you devote to the other business: Roughly 1 hour/month; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business: Consult with students on topic of paper and submission and grade assignment.

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

January 4, 2024 - August 12, 2025

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CINCINNATI, OH

Past

March 20, 2015 - November 6, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAS VEGAS, NV

Past

March 20, 2015 - November 6, 2023

LPL FINANCIAL LLC

BD

CRD#: 6413

LAS VEGAS, NV

Past

April 26, 2013 - March 23, 2015

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

SALT LAKE CITY, UT

Past

April 25, 2013 - March 23, 2015

ZIONS DIRECT, INC.

BD

CRD#: 17776

SALT LAKE CITY, UT

Past

February 13, 2012 - April 16, 2013

U.S. BANCORP ADVISORS, LLC

BD

CRD#: 14455

SAN RAFAEL, CA

Past

February 6, 2012 - April 16, 2013

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN RAFAEL, CA

Past

January 3, 2011 - May 12, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ADDISON, TX

Past

January 3, 2011 - May 12, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ADDISON, TX

Past

December 2, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ADDISON, TX

Past

December 2, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD

CRD#: 10582

ADDISON, TX

Past

June 17, 2009 - December 4, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ADDISON, TX

Past

June 11, 2009 - December 4, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ADDISON, TX

Past

August 8, 2005 - August 23, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

DALLAS, TX

Past

October 20, 2004 - August 23, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD

CRD#: 16361

BOSTON, MA

Past

October 15, 2004 - October 20, 2004

QUICK & REILLY, INC.

BD

CRD#: 11217

NEW YORK, NY

Past

January 27, 2003 - August 26, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

May 3, 2002 - December 31, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

July 12, 1999 - August 26, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD

CRD#: 16361

BOSTON, MA

Past

February 27, 1997 - July 12, 1999

BA INVESTMENT SERVICES, INC.

BD

CRD#: 12965

OAKLAND, CA

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: 1/14/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/27/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 2/26/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/27/2012

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 53

Date: 7/9/2001

Municipal 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith A. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ZIONS CAPITAL ADVISORS, INC.

ZIONS DIRECT, INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2002

Series 63

Date: 2/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/27/1998

Series 6

Date: 2/26/1997

Series 26

Date: 1/2/2023

Series 24

Date: 10/27/2012

Series 53

Date: 7/9/2001

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

Contact information

Similar Advisors