Jeffrey L Wendel | Financial Professional

Professional summary

Jeffrey L Wendel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Jeffrey had worked at 6 firms, which includes HORTER INVESTMENT MANAGEMENT LLC, BROOKSTONE CAPITAL MANAGEMENT LLC, CENTER STREET SECURITIES INC., PACKERLAND BROKERAGE SERVICES INC., AMERICAN GENERAL SECURITIES INCORPORATED, PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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

April 25, 2014 - January 4, 2017

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

FORT RECOVERY, OH

Past

October 27, 2011 - April 16, 2014

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

WHEATON, IL

Past

October 24, 2011 - September 13, 2013

CENTER STREET SECURITIES, INC.

BD

CRD#: 26898

FORT RECOVERY, OH

Past

January 3, 2006 - October 21, 2011

PACKERLAND BROKERAGE SERVICES, INC.

BD

CRD#: 37031

FORT RECOVERY, OH

Past

January 31, 2005 - December 31, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

BD

CRD#: 13626

HOUSTON, TX

Past

March 1, 2002 - November 12, 2004

PFS INVESTMENTS INC.

BD

CRD#: 10111

DULUTH, GA

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

Series 63

Date: 8/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 2/28/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 12/10/2003

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

Jeffrey L. Wendel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKSTONE CAPITAL MANAGEMENT LLC

CENTER STREET SECURITIES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

PFS INVESTMENTS INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2005

Series 6

Date: 2/28/2002

Series 26

Date: 12/10/2003

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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