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HC

Harold M. Collins

Some features on this profile are disabled
CRD#: 4366651
HC

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 Martin Collins, who also goes by Marty Collins, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 2001. Harold had worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marty Collins

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

May 4, 2015 - September 8, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
AUBURN, IN
Past

August 10, 2007 - May 1, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
AUBURN, IN
Past

August 9, 2007 - May 1, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUBURN, IN
Past

May 21, 2007 - August 8, 2007

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUBURN, IN
Past

May 21, 2007 - August 8, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
AUBURN, IN
Past

April 20, 2005 - May 9, 2007

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
FT. WAYNE, IN
Past

May 22, 2001 - May 9, 2007

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
FT. WAYNE, IN

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
RR
IAR
Series 66
Date: 4/14/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/4/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2001
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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