Clayton Benjamin Russell | 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.

Clayton Benjamin Russell, who also goes by Clay Russell, was a registered financial professional .

Clayton is a previously registered financial professional and started their career in finance in 1970. Clayton had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Clay Russell

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

August 26, 2014 - August 20, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

LADY LAKE, FL

Past

November 30, 2007 - December 31, 2009

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

DENTON, TX

Past

November 30, 2007 - December 31, 2010

HARBOUR INVESTMENTS, INC.

BD

CRD#: 19258

DENTON, TX

Past

August 26, 1999 - December 8, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD

CRD#: 16164

MCFARLAND, WI

Past

March 2, 1990 - August 31, 1999

OSAIC WEALTH, INC.

BD

CRD#: 23131

SCOTTSDALE, AZ

Past

October 19, 1987 - January 18, 1990

PIPER SANDLER & CO.

BD

CRD#: 665

MINNEAPOLIS, MN

Past

November 3, 1982 - October 20, 1987

BLUNT ELLIS & LOEWI INCORPORATED

BD

CRD#: 7580

Past

July 13, 1977 - January 2, 1978

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

BD

CRD#: 32

Past

February 18, 1977 - August 18, 1977

AMERICAN EXPRESS FINANCIAL CORPORATION

BD

CRD#: 6320

Past

February 18, 1977 - August 18, 1977

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

Past

February 18, 1977 - August 18, 1977

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

Past

April 21, 1975 - December 12, 1984

THE I.E.S. MANAGEMENT GROUP, INC.

BD

CRD#: 5256

Past

July 22, 1974 - July 9, 1975

WADDELL & REED

BD

CRD#: 866

Past

November 8, 1971 - August 31, 1974

USLIFE EQUITY SALES CORP

BD

CRD#: 6815

Past

December 11, 1970 - August 15, 1971

THE INVESTAMERICA GROUP INC.

BD

CRD#: 432

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: 7/15/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 3

Date: 1/7/1983

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 12/18/1982

General Securities Representative Examination

General Industry/Product Exam

RR

Series 1

Date: 12/4/1970

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 3/22/1990

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

Clayton B. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

OSAIC WEALTH, INC.

PIPER SANDLER & CO.

BLUNT ELLIS & LOEWI INCORPORATED

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

THE I.E.S. MANAGEMENT GROUP, INC.

WADDELL & REED

USLIFE EQUITY SALES CORP

THE INVESTAMERICA GROUP INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2014

Series 63

Date: 12/22/1982

Series 3

Date: 1/7/1983

Series 7

Date: 12/18/1982

Series 1

Date: 12/4/1970

Series 24

Date: 3/22/1990

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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