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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

KATHLEEN CHRISTINE LAVERDE

Advisor at HORAN WEALTH, LLC

CINCINNATI, OH

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Search this name across graphsid dfx:ria:9fce2aa4-90fe-c703-7e90-aae71b273a00

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 28, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HORAN WEALTH, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 7
Exams: S65|S63
First exam: Jul 11, 1996
First registration: Apr 28, 2004
Dual registered: yes, broker-dealer
Other names: KATHY CHRISTINE NICOSIA|KATHLEEN CHRISTINE MCNIGHT|KATHY LAVERDE
IAPD individual key: 2765762

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HORAN WEALTH, LLC	Independent wealth	Jul 7, 2025	n/a	yes	CINCINNATI, OH	Current employment
HORAN WEALTH MANAGEMENT	Former SEC adviser	Jan 8, 2025	Jul 7, 2025	no	CINCINNATI, OH\|CINCINNATI, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 5, 2017	Jan 13, 2025	no	Cincinnati, OH\|Crestview Hills, KY\|CINCINNATI, OH\|Crestview Hills, KY\|CINCINNATI, OH\|Chardon, OH\|Loveland, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 24, 2005	Sep 19, 2006	no	LOS ALAMITOS, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Sep 29, 2004	Jun 27, 2005	no	TORRANCE, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Apr 28, 2004	Jul 7, 2004	no	LAKEWOOD, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HORAN WEALTH MANAGEMENT	HORAN WEALTH, LLC	Jul 7, 2025	Jul 7, 2025	0	Channel change	RIA to new firm
AMERIPRISE FINANCIAL SERVICES, LLC	HORAN WEALTH MANAGEMENT	Jan 13, 2025	Jan 8, 2025	-5	Firm change	Ibd to RIA
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 19, 2006	Nov 5, 2017	4,065	Firm change after gap	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	LPL FINANCIAL LLC	Jun 27, 2005	Jun 24, 2005	-3	Firm change	Other
CITICORP INVESTMENT SERVICES	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jul 7, 2004	Sep 29, 2004	84	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
40794:333974:OH:2025-07-07	Jul 7, 2025	Jul 7, 2025	CINCINNATI, OH	Firm change

Relationships

Registered with (6)

→ HORAN WEALTH, LLCRegistered adviserregistration: current employment
Jul 7, 2025 to presentfactForm ADV
→ HORAN WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 8, 2025 to Jul 7, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 5, 2017 to Jan 13, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 24, 2005 to Sep 19, 2006factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Sep 29, 2004 to Jun 27, 2005factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Apr 28, 2004 to Jul 7, 2004factForm ADV

Dated events

Occurred
Jan 13, 2025
Advisor changed firm
Kathleen Christine Laverde left Ameriprise Financial Services, Llc for Horan Wealth Management (registered 2025-01-08)
Form ADVobserved 6 days ago