Douglas J. Barone

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CRD#: 1453455

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.

Douglas James Barone, who also goes by Douglas J Barone, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 12 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas J Barone

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

February 19, 2008 - July 19, 2012

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BOSTON, MA

Past

August 9, 2001 - March 3, 2008

NYLIFE SECURITIES LLC

CRD#: 5167

WALTHAM, MA

Past

September 28, 2000 - April 26, 2001

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 26, 1998 - July 29, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 26, 1998 - July 29, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 18, 1997 - June 23, 1998

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

April 13, 1994 - March 14, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

December 22, 1993 - March 24, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 21, 1991 - October 8, 1993

COVENANT SECURITIES, INC.

CRD#: 2484

NEWARK, DE

Past

April 19, 1989 - September 9, 1991

G. R. PHELPS & CO., INC.

CRD#: 173

Past

May 21, 1987 - April 19, 1989

CARILLON INVESTMENTS, INC.

CRD#: 14646

Past

February 17, 1987 - July 22, 1987

USLIFE EQUITY SALES CORP.

CRD#: 7962

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/27/1987

Investment Company Products/Variable Contracts Representative Examination

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

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.

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Firm Stability Insights

Douglas J. Barone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

MONY SECURITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

EQUITY SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

NEW ENGLAND SECURITIES

COVENANT SECURITIES, INC.

G. R. PHELPS & CO., INC.

CARILLON INVESTMENTS, INC.

USLIFE EQUITY SALES CORP.

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/1987

Series 6

Date: 1/27/1987

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

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