RD
Ronald J. Duswalt
HORNOR, TOWNSEND & KENT
NEW YORK, NY 10007
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CRD#: 1461255
RD
Professional summary
Ronald James Duswalt, CFP®, ChFC®, CLU® is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Elder Care
Budgeting
Retirement Planning
Insurance Planning
Estate Planning
Investment Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
None
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: OLD CASTLE FINANCIAL ADVISORS | Position Held: Proprietor/Owner | Address: 30 Vesey St, 9th FL, New York, NY 10007 | Start Date: 09/15/2004 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: 26-40 Hrs | Approx Trading Hrs Per Mth: 26-40 Hrs | Description of Duties: LIFE INSURANCE SALES INCLUDING LIFE SETTLEMENTS EFFECTIVE 07/23/2007. 2) DIVORCE AND FINANCIAL CONSULTING | Investment Related: No | DBA Name: OLD CASTLE FINANCIAL ADVISORS | Position Held: Proprietor/Owner | Address: 30 Vesey St, 9th FL, New York, NY 10007 | Start Date: 02/01/2012 | Nature of Activity: Other | Approx Hrs Per Mth: Less than 10 Hrs | Approx Trading Hrs Per Mth: Less than 10 Hrs | Description of Duties: PROVIDE ADVICE ON DIVORCE AND FINANCIAL MATTERS. REVIEW DOCUMENTS (TAX RETURNS, INVESTMENT STATEMENTS, PENSION STATEMENTS, COMPANY BENEFITS, INSURANCE POLICIES, ETC.) 3) VISITING NURSE SERVICE AND HOSPICE OF SUFFOLK, INC. | Investment Related: No | DBA Name: MEDICAL CARE | Position Held: Board Member / Trustee | Address: 505 MAIN STREET, NORTHPORT, NY 11768 | Start Date: 2004 | Nature of Activity: Other | Approx Hrs Per Mth: 10-25 Hrs | Approx Trading Hrs Per Mth: 10-25 Hrs | Description of Duties: THE BOARD IS RESPONSIBLE FOR THE MANAGEMENT, OPERATION AND THE EVALUATION OF THE AGENCY AND HAVE CHARGE OF THE AGENCY'S AFFAIRS, PROPERTY AND POLICIES. 4) LECTURING | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: EMPLOYEE | ADDRESS: VARIOUS LOCATIONS MAIN OFFICE LOCATION CLC INCORPORATED 3001 LAVA RIDGE CT., #250 ROSEVILLE, CA 95661 PHONE # 916-789-7600 | START DATE: 4/6/2019 | NATURE OF ACTIVITY: EDUCALTIONAL SPEAKER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: SPEAKER PRESENTING VARIOUS FINANCIAL TOPICS AS PART OF AN EMPLOYEE ASSISTANCE PROGRAM. 5) RENTAL POSITION: Proprietor/Owner NATURE: Rental Property Owner INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/14/2023 ADDRESS: 3150 N.Atlantic Avenue, 7-1000, Cocoa Beach FL 32931, United States DESCRIPTION: My wife and I own a condominium that was used as a vacation home for the last eight years. We now want to rent the property.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald James Duswalt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald James Duswalt'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®
CFP®
Start date: 1988
Experience
Current
September 17, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Current
June 10, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Past
July 30, 2002 - June 17, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKE SUCCESS, NY
Past
February 6, 1989 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 6, 1989 - June 17, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 19, 1987 - December 13, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
October 19, 1987 - December 13, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
January 29, 1987 - September 29, 1987
G. K. SCOTT & CO., INC.
BD
CRD#: 3305
Past
February 19, 1986 - February 13, 1987
INDIVIDUAL'S SECURITIES LTD.
BD
CRD#: 7279
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(11/14/2005)
RR
California(6/10/2003)
RR
Colorado(7/7/2006)
RR
Connecticut(6/10/2003)
RR
Delaware(11/6/2018)
RR
Florida(6/10/2003)
IAR
Florida(4/30/2025)
RR
Georgia(6/10/2003)
RR
Illinois(6/26/2006)
RR
Indiana(1/16/2014)
RR
Kentucky(5/30/2018)
RR
Maine(2/6/2008)
RR
Maryland(9/20/2004)
RR
Massachusetts(6/10/2003)
RR
Michigan(6/10/2003)
RR
Minnesota(6/10/2003)
RR
Nevada(6/10/2003)
RR
New Jersey(6/10/2003)
RR
New York(6/10/2003)
IAR
New York(3/19/2021)
RR
North Carolina(6/10/2003)
RR
Ohio(6/10/2003)
RR
Oregon(8/8/2017)
RR
Pennsylvania(6/10/2003)
RR
Rhode Island(12/16/2014)
RR
South Carolina(6/10/2003)
RR
Texas(6/10/2003)
RR
Vermont(6/10/2003)
RR
Virginia(6/10/2003)
RR
Washington(6/10/2003)
Exams
State Security Law Exam
State Security Law 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.
