Joshua H. Warren

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CRD#: 5526714

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.

Joshua Hastings Warren, who also goes by Josh Hastings Warren, Josh Warren, Joshua Warren, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2008. Joshua had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Hastings Warren | Josh Warren | Joshua Warren

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

April 3, 2018 - July 17, 2018

HORAN SECURITIES, INC.

RIA

CRD#: 40794

CINCINNATI, OH

Past

April 3, 2018 - July 17, 2018

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

Past

December 6, 2010 - January 25, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

January 15, 2009 - February 2, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

July 4, 2008 - February 1, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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 SECURITIES, INC.

HORAN SECURITIES, INC. | HORAN WEALTH MANAGEMENT

CRD#: 40794 / SEC#: 801-107181, 8-49192

RIA

Registered Investment Advisory firm - SEC (2/18/2016 Approved)

Florida

Registered Investment Advisory firm - SEC (2/25/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (3/2/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (2/26/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/25/2016 Terminated)

Terminated by SEC on 04/29/2025

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/13/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2008

General Securities Representative Examination

Current Firm

HORAN SECURITIES, INC.

HORAN SECURITIES, INC. | HORAN WEALTH MANAGEMENT

CRD#: 40794 / SEC#: 801-107181, 8-49192

RIA

Registered Investment Advisory firm - SEC (2/18/2016 Approved)

Florida

Registered Investment Advisory firm - SEC (2/25/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (3/2/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (2/26/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/25/2016 Terminated)

Terminated by SEC on 04/29/2025

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Contact information

Main Address

8044 Montgomery Rd Ste 640, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 745-0707

Established

Ohio since 11/08/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/29/2025)

CRS (3/29/2025)

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

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.

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Firm Stability Insights

Joshua H. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORAN SECURITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

HORAN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/13/2009

Series 63

Date: 7/10/2008

SIE

Date: 7/17/2018

Series 7

Date: 7/2/2008

Current Firm

HORAN SECURITIES, INC.

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORAN SECURITIES, INC.

TRUST BUT VERIFY

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