Thomas Davis, financial advisor Birmingham AL
65 score

Thomas Davis

CRD Number: 1874689
Current Firm: Horter Investment Management, LLC

Thomas Davis (CRD# 1874689) is an Investment Advisor Representative working at Horter Investment Management, LLC in Birmingham, AL and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Horter Investment Management, LLC Cincinnati, OH Dec 2014 - Current 2
The Davis Insurance Agency Birmingham, AL Sep 2013 - Current 3
Mutual Of Omaha Investor Services Birmingham, AL Apr 2013 - Aug 2013 < 1
Mutual Of Omaha Birmingham, AL Feb 2013 - Aug 2013 < 1
Metlife Securities Inc. Birmingham, AL Aug 2011 - Jan 2013 1
The Davis Agency Birmingham, AL Jun 2010 - Aug 2011 1
Ashford Advisors Birmingham, AL Jul 2009 - May 2010 < 1
Aura Financial Services, Inc. Birmingham, AL Jul 2008 - Nov 2009 1
Signator Investors, Inc. Birmingham, AL Jan 2007 - Jul 2008 1
Cheryl P. Brewer, An Advisory Practice Of Ameriprise Financial Birmingham, AL Feb 2006 - Sep 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas M. Davis
Phone Number: 513-984-9933
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    1,016
    MILLIONS
  • Total Number of Accounts
    13,925
    ACCOUNTS
  • Average Account Value
    $72,992
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
65

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