FB
Fredric R. Bocceri
HORNOR, TOWNSEND & KENT
SACRAMENTO, CA 95825
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CRD#: 1055428
FB
Professional summary
Fredric Richard Bocceri is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Sacramento, California.
Fredric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Fredric has worked at 1 firm and has passed the Series 63, SIE, Series 7 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: BOCCERI BOARD HIGGINS KITZ (DBA) BBHK II | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 2100 NORTHROP AVENUE, STE. 600, SACRAMENTO, CA 95825 | START DATE: 10/16/1975 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS,INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. INCLUDING LIFE SETTLEMENTS EFFECTIVE 07/18/2012. 2) FIN.REPRESENTATIVE AS NOW | POSITION: Employee | NATURE: Life Insurance brokerage | INVESTMENT RELATED: Yes | DBA: Independence Financial LLC | NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 | START DATE: 02/01/2024 | ADDRESS: 2100 Northrop Ave 600, Sacramento CA 95825, United States | DESCRIPTION: The ongoing service and retention of FRB client book, and the appropriate additional business creation that will arise from such service. They key focus is the continuity of care to each client and the fulfillment of their planning needs as I retire and pass the business to Ind. Fin.
CRS (Client Relationship Summary) - RIA
Click below to view Fredric Richard Bocceri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fredric Richard Bocceri'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
January 15, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2100 Northrop Ave Suite 600, Sacramento, CA 95825RIA
BD
CRD#: 4031
SACRAMENTO, CA
Current
August 20, 1982 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2100 Northrop Ave Suite 600, Sacramento, CA 95825RIA
BD
CRD#: 4031
SACRAMENTO, CA
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(5/7/1985)
IAR
California(1/15/2003)
RR
Colorado(2/21/1996)
RR
Florida(3/17/2006)
RR
Idaho(8/14/2003)
RR
Illinois(3/7/2005)
RR
Nevada(1/3/2023)
RR
New Hampshire(8/2/2019)
RR
New Mexico(10/10/2005)
RR
New York(6/13/2006)
RR
Oregon(4/15/2014)
RR
Pennsylvania(11/4/1998)
RR
Texas(9/22/2003)
IAR
Texas(8/2/2005)
RR
Virginia(4/24/2018)
Exams
State Security Law Exam
General Industry/Product 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)
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Sacramento, CA 95825TRUST BUT VERIFY
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Contact information
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