RD
Robert J. Dollfus
HORNOR, TOWNSEND & KENT
Phoenixville, PA 19460
Some features on this profile are disabled
CRD#: 1525829
RD
Professional summary
Robert John Dollfus JR, who also goes by Robert J Dollfus Jr, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Phoenixville, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert J Dollfus Jr
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: 1847 FINANCIAL | POSITION HELD: AGENT | ADDRESS:1200 CHARLESTOWN ROAD PHOENIXVILLE, PA 19460 | START DATE: 7/28/2020 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. ADVISORS PROVIDE CLIENTS FINANCIAL PLANNING
SERVICES AND OTHER INVESTMENT ADVISORY SERVICES AND INVESTMENT PRODUCTS THROUGH HORNOR, TOWNSEND & KENT, LLC, A REGISTERED INVESTMENT ADVISOR AND FINRA MEMBER FIRM.
2) MULTI-LINE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: DOLLFUS INSURANCE & FINANCIAL SERVICES | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 1200 CHARLESTOWN RD., PHOENIXVILLE, PA 19460 | START DATE: 11/1/1985 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 101-140 HRS | APPROX TRADING HRS PER MTH: 101-140 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OFBROKERAGE; P&C AND COMMERICAL LINES;LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS.
CRS (Client Relationship Summary) - RIA
Click below to view Robert John Dollfus JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert John Dollfus JR'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, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1200 Charlestown Road, Phoenixville, PA 19460RIA
BD
CRD#: 4031
Phoenixville, PA
Current
August 4, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1200 Charlestown Road, Phoenixville, PA 19460RIA
BD
CRD#: 4031
Phoenixville, PA
Past
August 1, 2008 - July 1, 2020
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
PHOENIXVILLE, PA
Past
September 7, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
PHOENIXVILLE, PA
Past
August 4, 1986 - July 1, 2020
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
PHOENIXVILLE, PA
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
Delaware(8/4/2020)
RR
Pennsylvania(8/4/2020)
IAR
Pennsylvania(10/27/2020)
Exams
State Security Law Exam
State Security Law 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.
