Robert Scott Douglass | 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 Scott Douglass, who also goes by Robert Scott Douglas, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 3 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Robert Scott Douglas

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

February 18, 2015 - December 2, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

IRVINE, CA

Past

May 4, 2010 - April 6, 2011

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA

CRD#: 8361

NEWPORT BEACH, CA

Past

May 4, 2010 - April 6, 2011

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD

CRD#: 8361

NEWPORT BEACH, CA

Past

July 23, 2009 - July 30, 2009

A.G.P. / ALLIANCE GLOBAL PARTNERS

RIA

CRD#: 8361

NEWPORT BEACH, CA

Past

June 6, 2008 - July 30, 2009

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD

CRD#: 8361

NEWPORT BEACH, CA

Past

September 24, 2003 - November 25, 2003

ALLEGISONE SECURITIES, INC.

BD

CRD#: 43390

NEWPORT BEACH, CA

Past

November 10, 1998 - October 16, 2001

BROOKSTREET SECURITIES CORPORATION

BD

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

August 8, 1986 - March 16, 1987

GOLDMAN SACHS & CO. LLC

BD

CRD#: 361

Past

April 13, 1981 - November 22, 1983

MORGAN STANLEY DW INC.

BD

CRD#: 7556

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: 12/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

IAR

Series 66

Date: 6/26/2008

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 3/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 6/4/2008

General Securities Representative Examination

General Industry/Product Exam

RR

Series 3

Date: 5/11/1994

National Commodity Futures Examination

Principal/Supervisory Exam

RR

Series 30

Date: 6/6/1994

NFA Branch Manager 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 S. Douglass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A.G.P. / ALLIANCE GLOBAL PARTNERS

A.G.P. / ALLIANCE GLOBAL PARTNERS

A.G.P. / ALLIANCE GLOBAL PARTNERS

A.G.P. / ALLIANCE GLOBAL PARTNERS

ALLEGISONE SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2014

Series 66

Date: 6/26/2008

Series 63

Date: 3/15/1999

Series 7

Date: 6/4/2008

Series 3

Date: 5/11/1994

Series 30

Date: 6/6/1994

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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