Victor Jon Gadoury | 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.

Victor Jon Gadoury was a registered financial professional .

Victor is a previously registered financial professional and started their career in finance in 1975. Victor had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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

July 7, 2017 - September 8, 2017

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Burlington, MA

Past

July 6, 2015 - December 9, 2016

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

WOBURN, MA

Past

July 27, 2010 - April 22, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOBURN, MA

Past

June 30, 2010 - May 23, 2017

LPL FINANCIAL LLC

BD

CRD#: 6413

WOBURN, MA

Past

November 13, 2006 - July 1, 2010

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

STONEHAM, MA

Past

October 27, 2006 - July 1, 2010

WORKMAN SECURITIES CORPORATION

BD

CRD#: 31898

STONEHAM, MA

Past

January 1, 2004 - October 23, 2006

CETERA ADVISORS LLC

RIA

CRD#: 10299

STONEHAM, MA

Past

January 1, 2004 - October 23, 2006

CETERA ADVISORS LLC

BD

CRD#: 10299

STONEHAM, MA

Past

March 18, 2001 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

STONEHAM, MA

Past

September 8, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

BD

CRD#: 10332

HUDSON, OH

Past

April 3, 1997 - September 20, 1999

SII INVESTMENTS, INC.

BD

CRD#: 2225

APPLETON, WI

Past

May 31, 1996 - April 8, 1997

SICOR SECURITIES INC

BD

CRD#: 16195

DAYTON, OH

Past

January 2, 1992 - March 18, 1996

1717 CAPITAL MANAGEMENT COMPANY

BD

CRD#: 4082

NEWARK, DE

Past

April 24, 1990 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD

CRD#: 2873

NEW YORK, NY

Past

April 24, 1990 - December 6, 1991

MONY SECURITIES CORPORATION

BD

CRD#: 4386

NEW YORK, NY

Past

May 23, 1986 - April 9, 1990

WS GRIFFITH SECURITIES, INC.

BD

CRD#: 10410

HARTFORD, CT

Past

July 17, 1975 - April 19, 1986

SENTRY EQUITY SERVICES, INC.

BD

CRD#: 5069

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: 3/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/15/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 5/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 7/11/1975

Registered 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

Victor J. Gadoury

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

SII INVESTMENTS, INC.

SICOR SECURITIES INC

1717 CAPITAL MANAGEMENT COMPANY

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

WS GRIFFITH SECURITIES, INC.

SENTRY EQUITY SERVICES, INC.

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/1997

Series 63

Date: 8/15/1986

SIE

Date: 5/23/2017

Series 1

Date: 7/11/1975

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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