RG
Robert Gerraputa
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 1691632
RG
Professional summary
Robert Gerraputa, who also goes by Robert Anthony Gerraputa, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 14 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 87, Series 7, Series 10, Series 9, Series 24, Series 53, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Anthony Gerraputa
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Gerraputa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Gerraputa'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
January 9, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
January 6, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
October 10, 2017 - January 13, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
October 10, 2017 - January 13, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 23, 2017 - July 6, 2017
EDWARD JONES
RIA
CRD#: 250
Fort Mill, SC
Past
May 22, 2017 - July 6, 2017
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
March 28, 2016 - May 15, 2017
JOSEPH GUNNAR & CO. LLC
RIA
CRD#: 24795
UNIONDALE, NY
Past
December 20, 2012 - June 19, 2015
JOSEPH GUNNAR & CO. LLC
RIA
CRD#: 24795
UNIONDALE, NY
Past
September 25, 2012 - May 15, 2017
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
UNIONDALE, NY
Past
July 22, 2010 - July 30, 2012
MOMENTUM TRADING PARTNERS, LLC
BD
CRD#: 140264
GREAT NECK, NY
Past
July 30, 2007 - October 19, 2012
AMERICAN CAPITAL PARTNERS, LLC
BD
CRD#: 119249
HAUPPAUGE, NY
Past
December 16, 1997 - July 30, 2007
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
NEW YORK, NY
Past
April 10, 1997 - December 13, 1997
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, NY
Past
December 4, 1995 - March 20, 1997
DUKE & CO., INC.
BD
CRD#: 8035
NEW YORK, NY
Past
December 11, 1993 - August 29, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 19, 1993 - June 23, 1995
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
January 21, 1993 - November 1, 1993
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 21, 1993 - November 1, 1993
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
July 23, 1990 - September 18, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 23, 1987 - August 8, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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(1/6/2023)
RR
Alaska(1/6/2023)
RR
Arizona(1/6/2023)
RR
Arkansas(1/6/2023)
RR
California(1/6/2023)
RR
Colorado(1/6/2023)
RR
Connecticut(1/11/2023)
RR
Delaware(1/6/2023)
RR
District of Columbia(1/6/2023)
RR
Florida(1/6/2023)
RR
Georgia(1/6/2023)
RR
Hawaii(1/6/2023)
RR
Idaho(1/6/2023)
RR
Illinois(1/6/2023)
RR
Indiana(1/6/2023)
RR
Iowa(1/6/2023)
RR
Kansas(1/6/2023)
RR
Kentucky(1/6/2023)
RR
Louisiana(1/6/2023)
RR
Maine(1/6/2023)
RR
Maryland(1/6/2023)
RR
Massachusetts(1/6/2023)
RR
Michigan(1/6/2023)
RR
Minnesota(1/6/2023)
RR
Mississippi(1/6/2023)
RR
Missouri(1/6/2023)
RR
Montana(1/6/2023)
RR
Nebraska(1/6/2023)
RR
Nevada(1/6/2023)
RR
New Hampshire(1/6/2023)
RR
New Jersey(1/6/2023)
RR
New Mexico(1/6/2023)
RR
New York(1/6/2023)
RR
North Carolina(1/6/2023)
RR
North Dakota(1/6/2023)
RR
Ohio(1/6/2023)
RR
Oklahoma(1/6/2023)
RR
Oregon(1/6/2023)
RR
Pennsylvania(1/6/2023)
IAR
Pennsylvania(1/9/2023)
RR
Rhode Island(1/6/2023)
RR
South Carolina(1/6/2023)
IAR
South Carolina(3/4/2024)
RR
South Dakota(1/6/2023)
RR
Tennessee(1/6/2023)
RR
Texas(1/6/2023)
RR
Utah(1/6/2023)
RR
Vermont(1/6/2023)
RR
Virginia(1/6/2023)
RR
Washington(1/6/2023)
RR
West Virginia(1/6/2023)
RR
Wisconsin(1/6/2023)
RR
Wyoming(1/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/26/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
