Todd Alan Brubaker | 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.

Todd Alan Brubaker, who also goes by Todd Alan Brubaker, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2010. Todd had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Todd Alan Brubaker

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.

Name of other business: Horter Financial Services ; Investment Related - Yes; Address of other business: Cincinnati, OH; Nature of other business: Financial and Medicare services; Position: National Sales Director of Medicare; Title: Sales Director; Start Date: 04/2024; Hours/month devoted to other business: 60; Hours/month devoted to other business during securities trading hours: 40; Briefly describe your duties: Hire and train Medicare agents

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

April 10, 2024 - October 24, 2025

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

CINCINNATI, OH

Past

April 15, 2022 - September 14, 2022

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

Fairborn, OH

Past

April 11, 2022 - September 14, 2022

BANKERS LIFE SECURITIES, INC.

BD

CRD#: 173962

Fairborn, OH

Past

February 24, 2021 - November 1, 2021

STATE FARM VP MANAGEMENT CORP.

BD

CRD#: 43036

BLOOMINGTON, IL

Past

October 20, 2016 - July 11, 2019

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CAMP HILL, PA

Past

August 3, 2015 - July 11, 2019

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

CAMP HILL, PA

Past

June 5, 2015 - August 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MIAMISBURG, OH

Past

January 2, 2015 - August 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD

CRD#: 16164

MIAMISBURG, OH

Past

September 19, 2010 - January 18, 2013

W&S BROKERAGE SERVICES, INC.

BD

CRD#: 8099

CINCINNATI, OH

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

RR

IAR

Series 66

Date: 3/10/2017

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 1/20/2011

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: 2/10/2016

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 9/17/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 3/29/2019

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 26

Date: 8/15/2012

Investment Company Products/Variable Contracts 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

Todd A. Brubaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

STATE FARM VP MANAGEMENT CORP.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2017

Series 63

Date: 1/20/2011

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2016

Series 6

Date: 9/17/2010

Series 24

Date: 3/29/2019

Series 26

Date: 8/15/2012

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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