Thomas A. Shoemake
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Allen Shoemake, who also goes by Thom Shoemake, Tom Shoemake, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2020 - September 27, 2023
HORAN SECURITIES, INC.
January 30, 2020 - September 27, 2023
HORAN SECURITIES, INC.
February 3, 2016 - January 29, 2020
W&S BROKERAGE SERVICES, INC.
January 22, 2015 - January 29, 2020
TOUCHSTONE ADVISORS INC
January 5, 2009 - December 31, 2014
TOUCHSTONE ADVISORS INC
May 23, 2007 - December 9, 2009
IFS FUND DISTRIBUTORS, INC.
January 27, 2003 - August 4, 2014
W&S BROKERAGE SERVICES, INC.
May 26, 1999 - January 29, 2020
TOUCHSTONE SECURITIES, LLC
March 30, 1998 - April 21, 1999
FSC SECURITIES CORPORATION
February 6, 1995 - January 30, 1998
VESTAX SECURITIES CORPORATION
May 12, 1992 - February 9, 1995
BUTLER, WICK & CO., INC.
March 20, 1992 - June 16, 1992
VOYA FINANCIAL ADVISORS, INC.
September 27, 1991 - February 19, 1992
SCOTT & STRINGFELLOW, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
HORAN SECURITIES, INC.
CRD#: 40794 / SEC#: 801-107181, 8-49192
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORAN, TERENCE LEE | PRESIDENT | 718264 |
| NAPIER, MICHAEL DUNLAP | VICE PRESIDENT/ REG REP | 4240419 |
| GROSSER, CONNIE SUE | CHIEF COMPLIANCE OFFICER | 1998135 |
| HOERNSCHEMEYER, GREGORY LEO | VICE PRESIDENT/REG REP | 2555372 |
| REYNOLDS, MICHAEL JASON | CHIEF FINANCIAL OFFICER | 7856362 |
| SOLOMON, GEOFFREY EDWARD | VICE PRESIDENT | 734912 |
Regulatory assets under management
| Total Number of Accounts | 2,245 |
| AUM (Assets Under Management) | $ 698,229,909 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
