Robert Wesley Barrett | 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.

Robert Wesley Barrett, who also goes by Wes Barrett, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 13 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Wes Barrett

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 10, 2010 - August 7, 2020

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

PINE VALLEY, CA

Past

February 2, 2005 - December 7, 2010

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

PINE VALLEY, CA

Past

February 2, 2005 - December 7, 2010

PLANMEMBER SECURITIES CORPORATION

BD

CRD#: 11869

PINE VALLEY, CA

Past

July 23, 2001 - January 31, 2005

PMG SECURITIES CORPORATION

BD

CRD#: 27107

ELGIN, IL

Past

October 28, 1993 - July 20, 2001

SENTRA SECURITIES CORPORATION

BD

CRD#: 10249

PHOENIX, AZ

Past

April 5, 1991 - November 9, 1993

LEGEND CAPITAL CORPORATION

BD

CRD#: 4149

PALM BEACH GARDENS, FL

Past

June 18, 1989 - March 20, 1991

SUNAMERICA SECURITIES, INC.

BD

CRD#: 20068

PHOENIX, AZ

Past

May 9, 1988 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD

CRD#: 6518

Past

June 25, 1987 - May 11, 1988

INVESTORS BROKERAGE SERVICES, INC.

BD

CRD#: 4257

Past

July 9, 1986 - July 18, 1987

INTERPACIFIC INVESTORS SERVICES, INC.

BD

CRD#: 4879

Past

July 10, 1985 - July 20, 1987

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD

CRD#: 2580

Past

July 10, 1985 - August 11, 1987

LINCOLN NATIONAL PENSION INSURANCE COMPANY

BD

CRD#: 10293

Past

July 10, 1985 - August 19, 1987

OSAIC FA, INC.

BD

CRD#: 3978

Past

November 28, 1980 - July 9, 1985

THE VARIABLE ANNUITY MARKETING COMPANY

BD

CRD#: 5081

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: 3/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 1/18/1986

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 11/17/1980

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/3/1994

General Securities 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

Robert W. Barrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

PMG SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

LEGEND CAPITAL CORPORATION

SUNAMERICA SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

INVESTORS BROKERAGE SERVICES, INC.

INTERPACIFIC INVESTORS SERVICES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

OSAIC FA, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/1996

Series 7

Date: 1/18/1986

Series 6

Date: 11/17/1980

Series 24

Date: 1/3/1994

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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