Keith E. Prince

HORAN WEALTH

CINCINNATI, OH 45236

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CRD#: 5840907

Professional summary

Keith Edmond Prince, CFP®, who also goes by Keith E Prince, is a registered financial advisor currently at HORAN WEALTH, LLC located in Cincinnati, Ohio and M HOLDINGS SECURITIES, INC. located in Cincinnati, Ohio.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Keith has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith E Prince

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) - RIA

Click below to view Keith Edmond Prince'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®

CFP^®

Certified Financial Planner

Experience

Current

July 8, 2025 - Present

HORAN WEALTH, LLC

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

RIA

CRD#: 333974

CINCINNATI, OH

Current

February 28, 2025 - Present

M HOLDINGS SECURITIES, INC.

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

RIA

CRD#: 43285

Cincinnati, OH

Past

February 8, 2022 - July 7, 2025

HORAN SECURITIES, INC.

RIA

CRD#: 40794

CINCINNATI, OH

Past

February 4, 2022 - March 5, 2025

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

Past

April 16, 2018 - January 28, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

April 16, 2018 - January 28, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CINCINNATI, OH

Past

August 19, 2011 - April 5, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

COVINGTON, KY

Past

November 16, 2010 - April 2, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

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

Indiana
(2/28/2025)

Kentucky
(2/28/2025)

IAR

Kentucky
(7/8/2025)

Ohio
(2/28/2025)

IAR

Ohio
(7/10/2025)

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 66

Date: 8/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/29/2010

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: 11/15/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/9/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/11/2016

General Securities Sales Supervisor - General Module 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.

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Advisor Monitoring

Firm Stability Insights

Keith E. Prince

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Edmond Prince's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

HORAN SECURITIES, INC.

HORAN SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

HORAN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2011

Series 63

Date: 11/29/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2010

Series 9

Date: 5/9/2016

Series 10

Date: 4/11/2016

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

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