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11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-03-05 |
| IN | RA | APPROVED | 2024-08-09 |
| NC | RA | APPROVED | 2024-07-31 |
| MI | RA | APPROVED | 2024-07-29 |
| CT | RA | APPROVED | 2024-07-26 |
| KY | RA | APPROVED | 2024-07-25 |
| NY | RA | APPROVED | 2024-07-25 |
| OH | RA | APPROVED | 2024-07-25 |
Branch Locations
11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Awf Investments Llc | Edgewood | KY | 04/2018 | 01/2021 |
| Conformis Inc | Billerica | MA | 02/2015 | 12/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2021 | 07/2021 |
| Northwestern Mutual Investment Services Llc | Cincinnati | OH | 01/2021 | 07/2021 |
| Alphamark Advisors, Llc | Ft. Wright | KY | 07/2021 | 07/2024 |
| Horter Investment Management, Llc | Cincinnati | OH | 07/2024 | Present |
Name of Business: AWF Management Services LLC; Whether the business is investment related: No; Address of other business: 556 Columbine Ct, Edgewood, KY, USA, 41017; Nature of business: Medical therapy: Your position: 100% Owner; Start Date: 08/27/2019; Approximate number of hours/month you devote to other business: 3 hours per week; number of hours you devote to other business during securities trading hours: 0 hours; Briefly describe duties: Holding company for business ventures, Holding company for medical therapy silent investment projects.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 2021-03-18 |
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