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11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-09-05 |
| TX | RA | APPROVED_RES | 2023-10-27 |
| CA | RA | APPROVED | 2023-10-18 |
Branch Locations
11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unionbanc Investment Services | Davis | CA | 04/2009 | 08/2023 |
| Horter Investment Management,Cllc | Cincinnati | OH | 10/2023 | Present |
Name of other business: Horter Financial Strategies; Investment Related - Yes; Address of other business: Cincinnati, OH; Nature of other business: Insurance and annuity sales; Position: Licensed Only Agent; Title: Agent; Start Date: 03/2023; Hours/month devoted to other business: 40; Hours/month devoted to other business during securities trading hours: 40; Briefly describe your duties: The recommendation, sale and servicing of insurance products and fixed annuities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-09 |
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