KC
Keliikai S. Castillo
HORTER INVESTMENT MANAGEMENT
Seattle, WA
Some features on this profile are disabled
CRD#: 4858601
KC
Professional summary
Keliikai Seto Ah Mook Castillo, who also goes by K Seto Ah Mook Castillo, Keliikai Castillo, is a registered financial advisor currently at HORTER INVESTMENT MANAGEMENT, LLC located in Seattle, Washington.
Keliikai is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Keliikai has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
K Seto Ah Mook Castillo | Keliikai Castillo
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 Strategies; Investment Related - Yes; Address of other business: Cincinnati, OH; Nature of other business: Insurance and annuity sales; Position: Licensed Only Agent; Title: Agent; Start Date: 03/2023; Hours/month devoted to other business: 40; Hours/month devoted to other business during securities trading hours: 40; Briefly describe your duties: The recommendation, sale and servicing of insurance products and fixed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Keliikai Seto Ah Mook Castillo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 18, 2023 - Present
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Seattle, WA
Past
May 5, 2009 - August 9, 2023
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SEATTLE, WA
Past
May 5, 2009 - August 9, 2023
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SEATTLE, WA
Past
October 10, 2007 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ROSEVILLE, CA
Past
October 6, 2006 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ROSEVILLE, CA
Past
November 9, 2004 - August 3, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SACRAMENTO, CA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(10/18/2023)
IAR
Texas(10/27/2023)
IAR
Washington(9/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
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.
