DF
Douglas H. Frye
HORNOR, TOWNSEND & KENT
HICKORY, NC
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CRD#: 1864067
DF
Professional summary
Douglas Henderson Frye is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Hickory, North Carolina.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Douglas has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
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: PS&G FINANCIAL PARTNERS | POSITION HELD: AGENT | ADDRESS: 481 17TH AVE NE, HICKORY, NC 28601 | START DATE: 10/06/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 98 | APPROX TRADING HRS PER MTH: 68 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL. 2)INSURANCE & INVESTMENTS BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: SPINNAKER FINANCIAL, INC | POSITION HELD: OWNER| ADDRESS: 481 17TH AVE NE, HICKORY, NC 28601 | START DATE: 10/06/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 160 | APPROX TRADING HRS PER MTH: 130 | DESCRIPTION OF DUTIES: INSURANCE & INVESTMENTS SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL. 3)PERSONAL FINANCE EDUCATION PLATFORM | INVESTMENT RELATED: NO | DBA NAME: THEMONEYCLASSROOM.COM | POSITION HELD: OWNER/HOST | ADDRESS: 481 17TH AVE NE, HICKORY, NC 28601 | START DATE: 11/02/2023 | NATURE OF ACTIVITY: EDUCATION PLATFORM | APPROX HRS PER MTH: 6 | APPROX TRADING HRS PER MTH: 2 | DESCRIPTION OF DUTIES: GENERATE SOCIAL MEDIA CONTENT. 4)LEGACY LOCK | INVESTMENT RELATED: NO | DBA NAME: N/A | POSITION HELD: AGENT | ADDRESS: 481 17TH AVE NE, HICKORY, NC 28601 | START DATE: 05/01/2024 | NATURE OF ACTIVITY: ACTIVITY | APPROX HRS PER MTH: 4 | APPROX TRADING HRS PER MTH: 4 | DESCRIPTION OF DUTIES: WE HELP CLIENTS IN AN ADMINISTRATIVE FUNCTION TO USE A SOFTWARE GUIDED LEGAL DOCUMENTS. LEGACYLOCK IS A SEPARATE COMPANY THAT PAY A COMMISSION TO US FOR THE SALE OF THE SOFTWARE SERVICE.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Henderson Frye'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
November 20, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
HICKORY, NC
Past
January 3, 2022 - November 17, 2023
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Hickory, NC
Past
August 29, 1988 - December 31, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
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.Highlighted states indicate IAR registrations
IAR
North Carolina(11/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
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.
