C. Thames, financial advisor Folsom CA

C. Thames

CRD Number: 730926
Current Firm: Horter Investment Management, LLC

C. Thames (CRD# 730926) is an Investment Advisor Representative working at Horter Investment Management, LLC in Folsom, CA and has over 35 years of experience in the finance industry. C. Thames has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Horter Investment Management, LLC Cincinnati, OH Oct 2014 - Current 6
Ct Thames Real Estate Woodbridge, CA Apr 2009 - Current 11
Ct Thames Tax & Retirement Services Folsom, CA Jan 2008 - Current 13
Thames Insurance & Financial Services Folsom, CA Jul 1975 - Current 45
Planmember Securities Corporation Folsom, CA Feb 2010 - Jun 2013 3
Allegiant Asset Management LLC Folsom, CA Mar 2007 - Dec 2009 2
Allegiant Securities LLC Folsom, CA Mar 2007 - Dec 2009 2
Allegiant Financial, Inc. Folsom, CA Mar 2007 - Dec 2009 2
Altrun, Inc. Woodbridge, CA Jan 2007 - Apr 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1985
S65 NASAA Investment Advisors Law Examination Dec 1998
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.

Get Details on the FINRA Advisor Check site
Contact Info for C. T. Thames
Phone Number: 513-984-9933
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    546
    MILLIONS
  • Total Number of Accounts
    3,495
    ACCOUNTS
  • Average Account Value
    $156,160
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
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, WY

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Data verified by both the advisor and the public regulatory data.

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