SD
Saivaroon A. Diehl
HORNOR, TOWNSEND & KENT
San Clemente, CA 92673
Some features on this profile are disabled
CRD#: 1437119
SD
Professional summary
Saivaroon Ann Diehl, who also goes by Ann Diehl, Sai Diehl, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in San Clemente, California.
Saivaroon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Saivaroon has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Diehl | Sai Diehl
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: SAFFRON FINANCIAL | Position Held: Proprietor/Owner | Address: 1201 PUERTA DEL SOL STE 206, SAN CLEMENTE, CA 92673, | Start Date: 01/01/1998 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: 101-140 Hrs | Approx Trading Hrs Per Mth: 26-40 Hrs | Description of Duties: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING THE PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Saivaroon Ann Diehl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Saivaroon Ann Diehl'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
February 3, 2005 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1201 Puerta Del Sol, Ste 206, San Clemente, CA 92673RIA
BD
CRD#: 4031
San Clemente, CA
Current
February 13, 1998 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1201 Puerta Del Sol, Ste 206, San Clemente, CA 92673RIA
BD
CRD#: 4031
San Clemente, CA
Past
July 11, 1988 - December 31, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 27, 1986 - April 26, 1988
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
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(2/28/2025)
RR
Arizona(7/2/2020)
RR
California(2/13/1998)
IAR
California(2/3/2005)
RR
Nevada(3/23/2023)
RR
Tennessee(2/13/2025)
RR
Texas(9/16/2008)
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
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.
