Thomas Allen Shoemake
Professional Summary
Thomas Allen Shoemake, who also goes by Thom Shoemake, Tom Shoemake, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1991 - 2023. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thom Shoemake, Tom Shoemake
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
HORAN SECURITIES, INC. | HORAN WEALTH MANAGEMENT
Contact Information
Main Address
8044 Montgomery Rd Ste 640, Cincinnati, OH 45236Phone Number
(513) 745-0707Established
Ohio since 11/08/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
27Documents
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
2,245AUM (Assets Under Management)
$698,229,909Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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