James R. Hendricks

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CRD#: 6793112

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.

James Robert Hendricks, who also goes by Jim Hendricks, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2017. James had worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Hendricks

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

October 10, 2017 - February 29, 2024

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

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

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 28

Date: 10/10/2017

Introducing Broker/Dealer Financial Operations Principal 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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James R. Hendricks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORAN SECURITIES, INC.

Primary Firm SEC Registration

HORAN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 28

Date: 10/10/2017

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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