HORAN SECURITIES, INC. of CINCINNATI, OH is an SEC-registered investment adviser (CRD 40794). Regulatory assets under management: $698.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Corporations.
| Name | Role | Location |
|---|---|---|
| Terence Lee Horan | PRESIDENT | — |
| Michael Dunlap Napier | VICE PRESIDENT/ REG REP | — |
| Gregory Leo Hoernschemeyer | VICE PRESIDENT/REG REP | — |
| Geoffrey Edward Solomon | VICE PRESIDENT | — |
| Connie Sue Grosser | CHIEF COMPLIANCE OFFICER | — |
| Michael Jason Reynolds | CHIEF FINANCIAL OFFICER | — |
| GROSSER CONNIE SUE | CHIEF COMPLIANCE OFFICER | — |
| SOLOMON JOEL EDWARD | VICE PRESIDENT; VICE PRESIDENT / REG REP | — |
| CHAPMAN SUZANNE ELIZABETH | CCO | — |
| HORAN TERENCE LEE | CCO; PRESIDENT; PRESIDENT & CCO | — |
| KREBS KURT B | CHIEF FINANCIAL OFFICER | — |
| TRAGESSER MICHAEL E JR | CHIEF COMPLIANCE OFFICER | — |
| HENDRICKS JAMES ROBERT | CFO | — |
| POWELL TIMOTHY GLENN | VICE PRESIDENT/ REG REP | — |
| NAPIER MICHAEL DUNLAP | VICE PRESIDENT/ REG REP | — |
| FERRELL AMANDA ELIZABETH | CCO | — |
| HOERNSCHEMEYER GREGORY LEO | VICE PRESIDENT/REG REP | — |
| SHOEMAKE THOMAS ALLEN | CHIEF COMPLIANCE OFFICER | — |
| HORAN JOHN RYAN | DEPT DIRECTOR, RETIREMENT PLAN CONSULTING | — |
| LANCE NICOLAS ERIC | CHIEF OPERATING OFFICER | — |
| REYNOLDS MICHAEL JASON | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2004-08-04 | regulatory | IN VIOLATION OF SEC RULE 15C3-1 AND NASD CONDUCT RULE 2110 FOR FAILURE TO MAINTAIN A MINIMUM NEW CAPITAL REQUIREMENTS | Final | $5K |
| 2001-10-01 | regulatory | FAILURE TO MEET NET CAPITAL REQUIREMENTS UNDER NASD CONDUCT RULE 2110 AND SEC RULE 15C 3-1. | Final | $2K |
| City | State | Employees | Phone |
|---|---|---|---|
| FORT MITCHELL | KY | 4 | 8595724500 |
| FORT MITCHELL | KY | 4 | 8595724500 |