Anthony Joseph Saulino III | 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.

Anthony Joseph Saulino III, who also goes by Anthony Joseph III Saulino, Anthony Joseph Saulino, Tony Saulino, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Anthony Joseph Iii Saulino | Anthony Joseph Saulino | Tony Saulino

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

December 1, 2025 - March 30, 2026

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Hilliard, OH

Past

April 23, 2025 - September 13, 2025

GOLDEN RESERVE RETIREMENT, LLC

RIA

CRD#: 283588

Dublin, OH

Past

January 31, 2025 - April 9, 2025

EDWARD JONES

RIA

CRD#: 250

DUBLIN, OH

Past

January 31, 2025 - April 9, 2025

EDWARD JONES

BD

CRD#: 250

DUBLIN, OH

Past

October 28, 2021 - November 4, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Worthington, OH

Past

October 28, 2021 - November 4, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

CUYAHOGA, OH

Past

September 30, 2020 - October 13, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBUS, OH

Past

February 4, 2020 - October 13, 2021

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

COLUMBUS, OH

Past

January 30, 2008 - December 13, 2019

RIVERSOURCE DISTRIBUTORS, INC.

BD

CRD#: 139135

MINNEAPOLIS, MN

Past

October 18, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

October 18, 2004 - January 15, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

SOUTHGATE, MI

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: 11/9/2004

Uniform Combined 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: 10/15/2004

General Securities Representative 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

43

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIM ADV PART 2A_2026 (3/16/2026)

Regulatory assets under management

Total Number of Accounts	2,296
AUM (Assets Under Management)	$ 314,499,558

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/19/2026	Cover Page	Report

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

Anthony J. Saulino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

GOLDEN RESERVE RETIREMENT, LLC

EDWARD JONES

EDWARD JONES

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2004

Current Firm

HORTER INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HORTER INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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