Leland Myron Pearl JR | 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.

Leland Myron Pearl JR, who also goes by Lee Pearl, Leland Myron Pearl Jr, Leland Myron Pearl, Jr., was a registered financial professional .

Leland is a previously registered financial professional and started their career in finance in 2010. Leland had worked at 9 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Lee Pearl | Leland Myron Pearl Jr | Leland Myron Pearl, Jr.

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 9, 2017 - August 28, 2018

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Venice, FL

Past

December 5, 2014 - February 16, 2016

EAGLE FINANCIAL ADVISORS, LLC

RIA

CRD#: 167696

VENICE, FL

Past

August 20, 2013 - June 18, 2014

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

VENICE, FL

Past

August 9, 2013 - June 18, 2014

CALTON & ASSOCIATES, INC.

BD

CRD#: 20999

TAMPA, FL

Past

January 7, 2013 - April 1, 2013

ALPHASTAR CAPITAL MANAGEMENT

RIA

CRD#: 157423

VENICE, FL

Past

May 8, 2012 - July 20, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD

CRD#: 611

OMAHA, NE

Past

November 15, 2010 - December 15, 2011

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

VENICE, FL

Past

June 9, 2010 - June 22, 2010

NATIONAL PLANNING CORPORATION

BD

CRD#: 29604

VENICE, FL

Past

March 9, 2010 - June 2, 2010

ALLEGIANT SECURITIES L.L.C.

BD

CRD#: 133912

MIAMI, FL

Past

January 25, 2010 - June 2, 2010

ALLEGIANT FINANCIAL ADVISORS, LLC

RIA

CRD#: 141047

VENICE, FL

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

IAR

Series 65

Date: 12/21/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

Series 6

Date: 3/8/2010

Investment Company Products/Variable Contracts 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leland M. Pearl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EAGLE FINANCIAL ADVISORS, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

ALPHASTAR CAPITAL MANAGEMENT

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

NATIONAL PLANNING CORPORATION

ALLEGIANT SECURITIES L.L.C.

ALLEGIANT FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2009

Series 6

Date: 3/8/2010

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

Similar Advisors