GG
Glenn D. Guthrie
HORNOR, TOWNSEND & KENT
Woodstock, GA 30188
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CRD#: 1233605
GG
Professional summary
Glenn David Guthrie, who also goes by Glenn D Guthrie, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Woodstock, Georgia.
Glenn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Glenn has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Glenn D Guthrie
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 - DBA: STRATEGIC PLANNING GROUP, INVESTMENT- RELATED,980 WOODSTOCK PKWY Suite 210 WOODSTOCK, GA 30188, United States , INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, AGENT, START DATE: JULY 2003, APPROXIMATE NUMBER OF HOURS/MONTH: MORE THAN 40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: MORE THAN 40 HRS, DUTIES: LIFE, HEALTH & DISABILITY, LTC, AND ANNUITY SALES AND SERVICE. 2)CORPORATION FOR TAX PURPOSES: POSITION: Registered Agent/Owner NATURE: Corporation for HTK and other 1099 Income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/15/2022 ADDRESS: 980 Woodstock Parkway, Suite 210, Woodstock GA 30188, United States DESCRIPTION: I am doing the same duties that are listed in the previous OBA for Strategic Planning Group DBA. The Strategic Planning Group, Inc. was set up for tax purposes at the advice of my CPA due to the changes in Penn Mutual and HTK compensation going forward.
CRS (Client Relationship Summary) - RIA
Click below to view Glenn David Guthrie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Glenn David Guthrie'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
March 23, 2004 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188RIA
BD
CRD#: 4031
Woodstock, GA
Current
July 10, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188RIA
BD
CRD#: 4031
Woodstock, GA
Past
November 8, 2000 - July 8, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ATLANTA, GA
Past
January 30, 1984 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
January 30, 1984 - July 8, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Alaska(8/4/2021)
RR
Colorado(3/31/2022)
RR
Florida(6/16/2022)
IAR
Florida(6/17/2022)
RR
Georgia(7/10/2003)
IAR
Georgia(3/23/2004)
RR
Kentucky(5/5/2025)
RR
North Carolina(5/4/2018)
RR
Ohio(3/22/2023)
RR
Oklahoma(9/21/2020)
RR
South Carolina(3/28/2022)
RR
Texas(8/25/2021)
IAR
Texas(8/25/2021)
RR
Wisconsin(8/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
