JM
Julio C. Muniz
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CRD#: 1252898
JM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Julio Cesar Muniz JR, CFP®, who also goes by Julio Cesar Muniz, was a registered financial professional .
Julio is a previously registered financial professional and started their career in finance in 1984. Julio had worked at 3 firms and has passed the Series 63, Series 22TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julio Cesar Muniz
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)MUNIZ AND ASSOCIATES, INVESTMENT-RELATED, 601 BAYSHORE BLVD., STE. 645, TAMPA, FL 33606, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, PROPRIETOR/OWNER, START DATE: 1993, APPROX. NUMBER OF HOURS/MONTH: MORE THAN 40, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: MORE THAN 40, DUTIES: SALES OF SECURITIES, LIFE, HEALTH AND DISABILITY INSURANCE.
2) YBOR HOLDINGS, LLC | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: DIRECTOR | ADDRESS: 115 EAST PEARL STREET, SUITE 200, JACKSON, WYOMING 83001 AND PO BOX 75827, TAMPA, FL 33675 | START DATE: 6/1/2017 | NATURE OF ACTIVITY: FAMILY'S NEWLY FORMED PRIVATE TRUST COMPANY; | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: QUARTERLY BOARD MEETING RELATING TO THE OPERATIONS OF THE PRIVATE TRUST COMPANY, REVIEWING ADVISOR PERFORMACE.
3) INSURANCE BROKERAGE - DBA NAME: 1847Financial; Investment Related:�Yes; Address:��4300 W Cypress Street, Suite 800, Tampa, FL 33607
Nature of OBA:��Insurance Sales and Service Life Insurance; Start date of OBA:��������� 8/1/2020; Your Position, Title, Relationship: Financial Professional; Approximate number of hours per month you devote to this outside business?� 40; Approximate number of hours per month you devote to the business during security trading hours?� 40; duties:�� Insurance sales and service of Life Insurance Products with Penn Mutual Life Insurance Company.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
February 3, 2021 - September 27, 2023
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
TAMPA, FL
Past
January 12, 2018 - November 19, 2020
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
TAMPA, FL
Past
July 13, 1992 - July 6, 2011
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
TAMPA, FL
Past
May 15, 1986 - February 24, 1988
CONSECO EQUITY SALES, INC.
BD
CRD#: 4125
Past
May 24, 1985 - May 15, 1986
VOYAGER SECURITIES, INC.
BD
CRD#: 919
Past
October 24, 1984 - September 27, 2023
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
TAMPA, FL
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
