Andrew T. Swinney

HORAN WEALTH

CINCINNATI, OH 45236

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CRD#: 7928245

Professional summary

Andrew Thomas Swinney, who also goes by Andrew T Swinney, Drew Thomas Swinney, is a registered financial advisor currently at HORAN WEALTH, LLC located in Cincinnati, Ohio and M HOLDINGS SECURITIES, INC. located in Cincinnati, Ohio.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Andrew has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew T Swinney | Drew Thomas Swinney

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 Andrew Thomas Swinney'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®

None

Experience

Current

December 4, 2025 - Present

HORAN WEALTH, LLC

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

RIA

CRD#: 333974

CINCINNATI, OH

Current

August 18, 2025 - Present

M HOLDINGS SECURITIES, INC.

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

RIA

CRD#: 43285

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 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

Indiana
(12/4/2025)

IAR

Kentucky
(12/4/2025)

Ohio
(10/21/2025)

IAR

Ohio
(12/5/2025)

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: 12/4/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/18/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/23/2025

Securities Industry Essentials 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

Andrew T. Swinney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas Swinney's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

Primary Firm SEC Registration

HORAN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2025

Series 63

Date: 10/17/2025

Series 7TO

Date: 8/18/2025

SIE

Date: 6/23/2025

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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