Kathleen C. Laverde

HORAN WEALTH | Private Wealth Advisor

CINCINNATI, OH 45236

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CRD#: 2765762

Professional summary

Kathleen Christine Laverde, CLU®, who also goes by Kathy Laverde, Kathleen Christine Mcnight, Kathy Christine Nicosia, is a registered financial advisor currently at HORAN WEALTH, LLC located in Cincinnati, Ohio and M HOLDINGS SECURITIES, INC. located in Cincinnati, Ohio.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kathleen has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Estate Planning Strategies

Intergenerational Planning

Retirement Planning Strategies

Are you a "fiduciary"?

Yes

Aliases

Kathy Laverde | Kathleen Christine Mcnight | Kathy Christine Nicosia

Other business activities

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.

1) Horan Wealth LLC; 8044 Montgomery Rd., Ste. 640, Cincinnati, OH 45236; M Financial Group - Member Firm Employee; Fixed Insurance Sales; Investment Related; Wealth Advisor; Sales and soliciting of business; 03/01/2025; 10 ho/mo; 10 ho/mo during trading hours; 2) Horan Wealth, LLC, 8044 Montgomery Rd., Ste. 640, Cincinnati, OH 45236; Registered Investment Adviser; Investment related; IAR; Sales and soliciting of business; 03/01/2025; 150 ho/mo; 150 ho/mo during trading hours;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Christine Laverde's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CLU^®

Chartered Life Underwriter

Experience

Current

July 7, 2025 - Present

HORAN WEALTH, LLC

Office #1: 8044 Montgomery Rd, Ste 640, Cincinnati, OH 45236

RIA

CRD#: 333974

CINCINNATI, OH

Current

March 3, 2025 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 8044 Montgomery Road Suite 640, Cincinnati, OH 45236

RIA

CRD#: 43285

Cincinnati, OH

Past

January 8, 2025 - July 7, 2025

HORAN SECURITIES, INC.

RIA

CRD#: 40794

CINCINNATI, OH

Past

January 8, 2025 - April 29, 2025

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

Past

November 5, 2017 - January 13, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CINCINNATI, OH

Past

November 2, 2017 - January 13, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CINCINNATI, OH

Past

May 17, 2017 - October 27, 2017

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

June 2, 2015 - May 18, 2017

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

July 10, 2012 - June 15, 2015

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

January 11, 2012 - June 18, 2012

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

September 5, 2006 - December 22, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

June 24, 2005 - September 19, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ALAMITOS, CA

Past

June 24, 2005 - September 19, 2006

LPL FINANCIAL LLC

CRD#: 6413

LOS ALAMITOS, CA

Past

September 29, 2004 - June 27, 2005

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

TORRANCE, CA

Past

July 1, 2004 - June 27, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

April 28, 2004 - July 7, 2004

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

LAKEWOOD, CA

Past

June 9, 2003 - July 7, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

May 6, 1999 - June 6, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 3, 1999 - October 22, 1999

SCHOFF & BAXTER, INC.

CRD#: 3290

BURLINGTON, IA

Past

November 14, 1998 - March 11, 1999

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

July 12, 1996 - November 14, 1998

GLENFED BROKERAGE SERVICES

CRD#: 13648

GLENDALE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HORAN WEALTH, LLC

CRD#: 333974 / SEC#: 801-132367

RIA

Registered Investment Advisory firm - (4/9/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(7/7/2025)

IAR

Colorado
(7/7/2025)

Indiana
(3/3/2025)

IAR

Indiana
(7/7/2025)

Kentucky
(3/3/2025)

IAR

Kentucky
(7/7/2025)

IAR

North Carolina
(7/7/2025)

Ohio
(3/3/2025)

IAR

Ohio
(7/10/2025)

IAR

Pennsylvania
(7/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HORAN WEALTH, LLC

CRD#: 333974 / SEC#: 801-132367

RIA

Registered Investment Advisory firm - (4/9/2025 Approved)

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Contact information

Main Address

8044 Montgomery Rd, Ste 640, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 745-0707

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORAN WEALTH, LLC FORM ADV - PART 2A (7/16/2025)

Regulatory assets under management

Total Number of Accounts	3,364
AUM (Assets Under Management)	$ 1,449,490,536

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kathleen C. Laverde

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Christine Laverde's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

HORAN SECURITIES, INC.

HORAN SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SAYBRUS EQUITY SERVICES, LLC

THE LEADERS GROUP, INC.

FIFTH THIRD SECURITIES, INC.

P.J. ROBB VARIABLE, LLC

FIFTH THIRD SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

SCHOFF & BAXTER, INC.

CAL FED INVESTMENTS

GLENFED BROKERAGE SERVICES

Primary Firm SEC Registration

HORAN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2019

Series 63

Date: 7/11/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1997

Series 6

Date: 7/11/1996

Series 24

Date: 4/21/2004

FINRA

Current Firm

HORAN WEALTH, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORAN WEALTH, LLC

TRUST BUT VERIFY

Contact information

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