Nicolas E Lance
Professional Summary
Nicolas E Lance, who also goes by Nicolas Eric Lance, was a registered financial advisor. Nicolas was a previously registered financial professional and started their career in finance 1999 - 2024. Nicolas had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicolas Eric Lance
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Videos & Posts
This advisor has not added any videos or posts yet.
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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
28 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
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 1998About the Series 26 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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