GA
Gregory N. Altenau
HORNOR, TOWNSEND & KENT
Cincinnati, OH 45248
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CRD#: 1170933
GA
Professional summary
Gregory Neal Altenau is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Cincinnati, Ohio.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gregory has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 62, Series 22 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: ALTENAU FINANCIAL SERVICES | Position Held: Agent | Address: 5636 BRIDGETOWN ROAD, CINCINNATI, OH 45248 | Start Date: 08/1979 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: 26-40 Hrs | Approx Trading Hrs Per Mth: 26-40 Hrs | Description of Duties: MEETING WITH CLIENTS TO DISCUSS INSURANCE AND INVESTMENT NEEDS.
2) TRUSTEE FOR OAKDALE PARK OFFICE CONDO ASSOCIATION | Investment Related: No | DBA Name: N/A | Position Held: Other | Address: 5636 BRIDGETOWN RD., STE. H, CINCINNATI, OH 45248 | Start Date: 01/01/2014 | Nature of Activity: Other | Approx Hrs Per Mth: Less than 10 Hrs | Approx Trading Hrs Per Mth: Less than 10 Hrs | Description of Duties: TRUSTEE, ADMINISTRATIVE DECISION-MAKING RELATING TO PROPERTY MANAGEMENT.
3) PRINCIPAL, CABIN LAKE LLC. NOT INVESTMENT RELATED;
26239 SR 1, GUILFORD ,IN 47022;
LAND OWNERSHIP AND LEASING ;
START DATE: 10/2014;
APPROXIMATE NUMBER OF HOURS/MONTH: LESS THAN 10;
APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: LESS THAN 10;
DUTIES: HAY FARMING, LEASE HAY FIELDS, COLLECT LEASE FEES.
4) COMMUNITY BAND | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: TREASURER | ADDRESS: MT ST JOSEPH UNIVERSITY 5701 DELHI PIKE ,CINCINNATI OH 45233 | START DATE: 1/1/2019 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10| DESCRIPTION OF DUTIES: COLLECT DUES, DO REPORTS FOR 501 C 3, WRITE CHECKS.
5) ARCHEOLOGICAL RESEARCH INSTITUTE | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: BOARD MEMBER
/TREASURER | ADDRESS: 424 WALNUT ST-LAWRENCEBURG,IN 47025 | START DATE: 1/1/2020 | NATURE OF ACTIVITY:
CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 |
DESCRIPTION OF DUTIES: ATTENDING MEETINGS ,ACCOUNTING , TREASURER ASSISTANCE
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Neal Altenau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Neal Altenau'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 14, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5636 Bridgetown Rd Suite H, Cincinnati, OH 45248RIA
BD
CRD#: 4031
Cincinnati, OH
Current
August 15, 1983 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5636 Bridgetown Rd Suite H, Cincinnati, OH 45248RIA
BD
CRD#: 4031
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".
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
Alabama(10/14/2003)
RR
Arizona(3/28/2008)
RR
Arkansas(2/18/2021)
RR
California(5/27/2003)
RR
Florida(12/16/1986)
RR
Georgia(2/25/1997)
RR
Illinois(10/11/2000)
RR
Indiana(12/15/1986)
RR
Kentucky(7/18/1985)
RR
Maryland(4/22/2015)
RR
Michigan(11/14/1986)
RR
Minnesota(9/25/2008)
RR
Montana(2/17/2023)
RR
Nevada(5/7/2018)
RR
North Carolina(5/17/2013)
RR
Ohio(8/18/1983)
IAR
Ohio(1/14/2003)
RR
Oklahoma(8/3/2006)
RR
Pennsylvania(2/15/2007)
RR
South Carolina(7/12/2024)
RR
Tennessee(6/5/2018)
RR
Texas(2/26/2018)
IAR
Texas(4/20/2022)
RR
West Virginia(5/7/2018)
RR
Wisconsin(2/26/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/9/1995
Corporate Securities Limited Representative ExaminationGeneral 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
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#: 4031Cincinnati, OH 45248TRUST BUT VERIFY
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