William Page Carter 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.

William Page Carter III, who also goes by William Page Carter, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1980. William had worked at 9 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

William Page Carter

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

November 12, 2013 - August 24, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

NEW MILFORD, CT

Past

December 7, 2012 - November 7, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LUTHERVILLE, MD

Past

December 7, 2012 - November 7, 2013

SECURITIES AMERICA, INC.

BD

CRD#: 10205

LUTHERVILLE, MD

Past

January 4, 2010 - December 7, 2012

INVESTORS SECURITY COMPANY, INC.

RIA

CRD#: 2331

LUTHERVILLE, MD

Past

November 15, 1993 - December 7, 2012

INVESTORS SECURITY COMPANY, INC.

BD

CRD#: 2331

LUTHERVILLE, MD

Past

August 1, 1990 - November 22, 1993

COMPREHENSIVE FINANCIAL SERVICES, INC.

BD

CRD#: 22710

Past

September 17, 1987 - May 17, 1990

HARVEST SECURITIES, INC.

BD

CRD#: 17063

Past

February 11, 1986 - August 31, 1987

CAPITOL SECURITIES MANAGEMENT, INC.

BD

CRD#: 14169

Past

July 14, 1983 - February 13, 1986

CARDELL & ASSOCIATES, INCORPORATED

BD

CRD#: 7700

Past

October 30, 1980 - July 18, 1983

JOHN HANCOCK DISTRIBUTORS LLC

BD

CRD#: 5249

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: 3/8/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 10/17/1987

General Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 4/18/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 10/21/1980

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).

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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

William P. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTORS SECURITY COMPANY, INC.

INVESTORS SECURITY COMPANY, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

HARVEST SECURITIES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

CARDELL & ASSOCIATES, INCORPORATED

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/2005

Series 7

Date: 10/17/1987

Series 22

Date: 4/18/1983

Series 6

Date: 10/21/1980

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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