MG
Michael J. Gaudino
HORNOR, TOWNSEND & KENT
Lancaster, PA 17601
Some features on this profile are disabled
CRD#: 1025547
MG
Professional summary
Michael Joseph Gaudino is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Lancaster, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) INSURANCE BROKERAGE | INVESTMENT RELATED - YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT | ADDRESS: 1525 OREGON PIKE SUITE 1501, LANCASTER, PA 17601 | START DT: 3/1/2016 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 101-140 HRS | APPROX TRADING HRS PER MTH: 101-140 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OF LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITIES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL. 2) INSURANCE BROKERAGE | INVESTMENT RELATED - YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT | ADDRESS: 1525 OREGON PIKE, SUITE 1501, LANCASTER, PA 17601 | START DT: 3/1/2016 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 101-140 HRS | APPROX TRADING HRS PER MTH: 101-140 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OF LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITIES. 3) LANDLORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER- | ADDRESS: 1525 OREGON PIKE SUITE 1501 & 1502LANCASTER, PA. 17601 | START DATE: 2017-04-01 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER- | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 HOURS | DESCRIPTION OF DUTIES: PROPERTY OWNER-COLLECT RENT FROM PENN MUTUAL LIFE INS. COMPANY. 4) COMPASS MILL LLC. | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER/ LANDLORD | ADDRESS: 813,815 & 817 ROTHSVILLE RD. LITITZ, PA. 17543 | START DATE: 12/30/2019 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: RENTAL PROPERTIES RENOVATIONS :PROPERTIES ARE RENOVATED AND RENTED. 5) STATION HOUSE & FRUITVILLE PARTNERS LLC | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: MEMBER | ADDRESS: 1331 & 1335 FRUITVILLE PIKE LANCASTER,PA. 17601 | START DATE: 11/2/2022 | NATURE OF ACTIVITY: RENTAL PROPERTY LLC PARTNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: PROPERTY OWNER COLLECTING RENTS, MAINTENANCE DELEGATION.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Gaudino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Gaudino's 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®
NoneExperience
Current
June 9, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1525 Oregon Pike Suite 1501, Lancaster, PA 17601RIA
BD
CRD#: 4031
Lancaster, PA
Current
March 3, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1525 Oregon Pike Suite 1501, Lancaster, PA 17601RIA
BD
CRD#: 4031
Lancaster, PA
Past
November 2, 2007 - March 3, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
LANCASTER, PA
Past
April 22, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
LANCASTER, PA
Past
April 22, 1998 - March 3, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LANCASTER, PA
Past
November 26, 1996 - April 6, 1998
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
March 4, 1996 - October 28, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 4, 1996 - October 28, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 5, 1995 - January 19, 1996
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
January 7, 1993 - February 21, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 7, 1993 - February 21, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
November 16, 1983 - December 11, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
December 14, 1982 - October 19, 1983
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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".
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
California(3/31/2020)
RR
Florida(6/1/2016)
RR
Maryland(3/3/2016)
RR
Pennsylvania(3/3/2016)
IAR
Pennsylvania(6/9/2016)
RR
Virginia(8/16/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Mailing Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Phone number
(215) 957-7300
Established
Delaware since 09/09/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
442
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Lancaster, PA 17601TRUST BUT VERIFY
Monitor Michael Gaudino
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
