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HG

Harold B. Gatlin

Some features on this profile are disabled
CRD#: 3211208
HG

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.

Harold Bruce Gatlin, who also goes by Harold Gatlin, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1999. Harold had worked at 15 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harold Gatlin

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: Gatlin Financial Services Investment Related?: Yes Address of other business: 2700 Valparaiso street, #2336, Valparaiso, IN 46384 Nature of other business: annuity/insurance Your position: Owner Start Date: 11/09/2018 How many hours you devote to the other business per month: minimal How many hours you devote to the other business during securities trading hours: minimal Briefly describe your duties: Determine adequacy for annuity/insurance products

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

November 14, 2018 - May 7, 2024

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
Valparaiso, IN
Past

November 21, 2017 - November 9, 2018

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
Valparaiso, IN
Past

January 12, 2012 - November 6, 2017

ARCHER INVESTMENT CORPORATION

RIA
CRD#: 136403
CARMEL, IN
Past

March 18, 2011 - January 10, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
VALPARASIO, IN
Past

December 7, 2009 - May 10, 2010

CREATIVE FINANCIAL DESIGNS, INC.

RIA
CRD#: 109032
VALPARAISO, IN
Past

December 7, 2009 - May 10, 2010

CFD INVESTMENTS, INC.

BD
CRD#: 25427
VALPARAISO, IN
Past

November 6, 2009 - December 15, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
VALPARAISO, IN
Past

November 6, 2009 - December 15, 2009

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
VALPARAISO, IN
Past

June 22, 2006 - November 9, 2009

CREATIVE FINANCIAL DESIGNS, INC.

RIA
CRD#: 109032
VALPARAISO, IN
Past

June 22, 2006 - November 9, 2009

CFD INVESTMENTS, INC.

BD
CRD#: 25427
VALPARAISO, IN
Past

March 9, 2006 - March 15, 2006

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
VALPARAISO, IN
Past

March 2, 2006 - July 5, 2006

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
VALPARAISO, IN
Past

April 19, 2004 - December 31, 2006

HAROLD GATLIN

RIA
CRD#: 130718
MORTON, IL
Past

January 5, 2004 - February 28, 2006

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 4, 2003 - April 2, 2003

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

November 23, 1999 - February 18, 2004

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
CRETE, IL
Past

September 29, 1999 - January 30, 2004

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

May 12, 1999 - October 1, 1999

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO

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
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS

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)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/8/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1999
General Securities Representative Examination

Current Firm

HI
HORTER INVESTMENT MANAGEMENT, LLC
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts2,136
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.

Company Information

HORTER INVESTMENT MANAGEMENT, LLC

CRD#: 119880

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