CT
C. T. Thames
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CRD#: 730926
CT
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.
C. Thomas Thames, CFP®, who also goes by C Thomas Thames, C.t. Thames, Carroll Thomas Thames, Carroll Thames, Tom Thames, was a registered financial professional .
C. is a previously registered financial professional and started their career in finance in 1981. C. had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
C Thomas Thames | C.t. Thames | Carroll Thomas Thames | Carroll Thames | Tom Thames
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 Name of the other business: CT Thames Tax & Retirement Services Investment Related?: Yes Address of other business: 9245 Laguna Springs Drive, Suite 200, Elk Grove, CA 95758 Nature of other business: Registered Tax Preparer Your position: Owner & CTEC Registered Tax Preparer Start Date: 01/2008 How many hours you devote to the other business per month: 0 How many hours you devote to the other business during securities trading hours: 0 Briefly describe your duties: Tax planning and Social Security workshops. The Name of the other business: Thames Insurance & Financial Services Investment Related?: Yes Address of other business: 9245 Laguna Springs Drive, Suite 200, Elk Grove, CA 95758 Nature of other business: Insurance and Annuity Sales Your position: Owner/Agent Start Date: 07/1975 How many hours you devote to the other business per month: 20 How many hours you devote to the other business during securities trading hours: 20 Briefly describe your duties: Insurance and Annuity sales. The Name of the other business: Ameriestate Investment Related?: No Address of other business: 3525 Hyland Ave., Suite 150, Costa Mesa, CA 92626 Nature of other business: Legal plan and estate planning services Your position: Associate (independent contractor) Start Date: 10/2021 How many hours you devote to the other business per month: 5 How many hours you devote to the other business during securities trading hours: 0 Briefly describe your duties: Legal plan and estate planning seminars
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®
CFP®
Start date: 1980
Experience
Past
October 24, 2014 - August 25, 2022
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Elk Grove, CA
Past
February 2, 2010 - June 14, 2013
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
FOLSOM, CA
Past
February 1, 2010 - June 14, 2013
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
FOLSOM, CA
Past
July 2, 2007 - December 21, 2009
ALLEGIANT FINANCIAL ADVISORS, LLC
RIA
CRD#: 141047
MIAMI BEACH, FL
Past
April 26, 2007 - December 21, 2009
ALLEGIANT SECURITIES L.L.C.
BD
CRD#: 133912
MIAMI, FL
Past
October 31, 2005 - May 16, 2006
OSAIC SERVICES, INC.
RIA
CRD#: 133763
WOODBRIDGE, CA
Past
October 31, 2005 - May 16, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
WOODBRIDGE, CA
Past
July 28, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
WOODBRIDGE, CA
Past
November 13, 2000 - December 31, 2003
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
WOODBRIDGE, CA
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 18, 1981 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory 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.
