TP
Tomas H. Parks
HORNOR, TOWNSEND & KENT
Woodstock, GA 30188
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CRD#: 1347802
TP
Professional summary
Tomas Harry Parks, who also goes by Thomas Harry Parks, Tom Parks, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Woodstock, Georgia.
Tomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Tomas has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Harry Parks | Tom Parks
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: STATEGIC PLANNING GROUP | POSITION HELD: MANAGING PARTNER | ADDRESS: 13777 BALLANTYNE CORP PL STE 225, CHARLOTTE, NC 28277| START DATE: 05/29/2018| NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE OF LIFE, HEALTH/DI, ANNUITY FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) ADJUNCT TEACHING | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: OTHER - | ADDRESS: 304 WILLIAM FALLS DR. CANTON, GA 30114 | START DATE: 6/2/2012 | NATURE OF ACTIVITY: PROFESSOR | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: DELIVERING PREPARED COURSES TO STUDENTS IN AREAS RELATED TO MY DOCTORATE ON AN ADJUNCT BASIS FOR VARIOUS UNIVERSITIES. LIMITATIONS - CANNOT SOLICTE BUSINESS IN YOUR CLASSES. 3) PARKS FAMILY FOUNDATION | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: TRUSTEE | ADDRESS: 304 WILLIAM FALLS DR. CANTON, GA 30114 | START DATE: 7/24/2011 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: ADD INPUT AND SIGN CHECKS AS REQUESTED LIMITATIONS - YOU MUST ADVISE HTK IF YOU OPEN AN ADVISORY ACCOUNT OR BROKERAGE ACCOUNT. 4) ATLANTA YOUTH RUGBY BOARD TREASURER | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: OFFICER | ADDRESS: 1531 N MORNINGSIDE DR NE ATLANTA, GA 30306 | START DATE: 12/1/2021 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: POSITION OF TREASURER ON THE BOARD. THERE IS A SEPARATE CONTROLLER WHO HANDLES ALL FINANCIAL MATTERS. : MY POSITION DOES NOT HANDLE DAY TO DAY TREASURER DUTIES. 5) HOSTING INSURANCE RELATED EVENTS | INVESTMENT RELATED: NO | DBA NAME: SPG LIGHTHOUSE LLC | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 230 WATERFORD FALLS DR CANTON, GA 30114 | START DATE: 8/9/2022 | NATURE OF ACTIVITY: NETWORKING GROUP | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: INFORMATIONAL MEETINGS: ORGANIZING INFORMATIONAL SEMINARS PERIODICALLY FOR FINANCIAL PROFESSIONALS 6)LIFE INSURANCE SETTLEMENTS: POSITION: Agent NATURE: LIFE INSURANCE SETTLEMENTS LIS 12/15/2022 INVESTMENT RELATED: Yes NUMBER OF HOURS: 41 SECURITIES TRADING HOURS: 41 START DATE: 12/15/2022 ADDRESS: 13777 BALLANTYNE CORP PL STE 225, CHARLOTTE, NC 28277, United States DESCRIPTION: DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE OF LIFE, HEALTH/DI, ANNUITY FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. LIFE INSURANCE SETTLEMENTS (LIS) EFFECTIVE 12/15/2022. 7)INSURANCE BROKERAGE | POSITION: Team Member NATURE: Life Insurance brokerage | INVESTMENT RELATED: Yes | NUMBER OF HOURS: 10 | SECURITIES TRADING HOURS: 10 | START DATE: 03/01/2023 |ADDRESS: 14785 Seminole Trail, Seminole FL 33776, United States | DESCRIPTION: Insurance sales & service for multiple carriers, including Penn Mutual Life Insurance Company (including Life, Disability, LTC, Health). 8) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: MANAGING PARTNER | ADDRESS: 13777 BALLANTYNE CORP PL STE 225, CHARLOTTE, NC 28277| START DATE: 01/01/2024| NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE OF LIFE, HEALTH/DI, ANNUITY FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Tomas Harry Parks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tomas Harry Parks'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
October 27, 2011 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188Office #2: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Woodstock, GA
Current
October 8, 2010 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188Office #2: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Woodstock, GA
Past
September 27, 1994 - July 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 27, 1994 - July 10, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 28, 1992 - March 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
April 28, 1992 - March 9, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
December 19, 1989 - February 25, 1992
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
November 23, 1988 - December 19, 1989
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 19, 1987 - October 25, 1988
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 29, 1985 - January 29, 1987
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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
Arizona(6/18/2014)
RR
California(1/27/2021)
RR
Florida(11/24/2010)
IAR
Florida(10/27/2011)
RR
Georgia(8/26/2013)
IAR
Georgia(12/2/2022)
RR
Idaho(3/31/2025)
RR
Illinois(1/27/2021)
RR
Maine(1/4/2021)
RR
Michigan(9/2/2021)
RR
Mississippi(9/5/2025)
RR
Missouri(2/25/2015)
RR
New York(2/25/2015)
RR
North Carolina(2/25/2015)
IAR
North Carolina(6/1/2018)
RR
Ohio(10/8/2010)
RR
South Carolina(1/4/2021)
RR
Tennessee(2/25/2015)
RR
Texas(4/21/2022)
RR
Utah(1/27/2021)
RR
West Virginia(1/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
