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Ashok Hiralal Sanghavi

Ashok H. Sanghavi

HORNOR, TOWNSEND & KENT
Elkhart, IN 46514
Some features on this profile are disabled
CRD#: 1871454
Ashok Hiralal Sanghavi

Professional summary

Ashok Hiralal Sanghavi, CFP® is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Elkhart, Indiana.

Ashok is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Ashok has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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) NAME OF ACTIVITY INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: GLOBAL FINANCIAL GROUP | POSITION HELD: AGENT | ADDRESS: 25416 COUNTY ROAD 6, SUITE 102, ELKHART, IN 46514 | START DATE: 10/02/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 160 | APPROX TRADING HRS PER MTH: 160 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 2) NAME OF ACTIVITY RENTAL PROPERTIES | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: AGENT | ADDRESS: 1622 EVERGREEN PLACE, ELKHART, IN 46514 | START DATE: 10/02/2023 | NATURE OF ACTIVITY: RESIDENTIAL RENTAL | APPROX HRS PER MTH: 1 | APPROX TRADING HRS PER MTH: 1 | DESCRIPTION OF DUTIES: WORKING WITH PROPERTY MANAGERS IN CONSIDERATION OF NEW TENANTS ALSO APPROVE REPAIRS COST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashok Hiralal Sanghavi's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2000

Experience

Current

November 1, 2023 - Present

HORNOR, TOWNSEND & KENT, LLC

Office #1: 25416 County Road 6 Suite 102, Elkhart, IN 46514
RIA
BD
CRD#: 4031
Elkhart, IN
Past

May 13, 2013 - November 3, 2023

RETIREMENT INCOME MANAGEMENT, INC.

RIA
CRD#: 164871
WARRENVILLE, IL
Past

September 1, 2011 - April 19, 2013

CAPITAL MANAGEMENT ASSOCIATES,INC.

RIA
CRD#: 123730
ELKHART, IN
Past

October 28, 2010 - September 8, 2011

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
ELKHART, IN
Past

October 29, 2009 - November 11, 2010

AMERICAN INVESTMENT SERVICES

RIA
CRD#: 144088
ELKHART, IN
Past

August 29, 2008 - November 2, 2009

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
ELKHART, IN
Past

August 28, 2008 - November 2, 2009

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
ELKHART, IN
Past

March 9, 2007 - September 2, 2008

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
ELKHART, IN
Past

December 14, 2000 - March 12, 2007

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
ELKHART, IN
Past

November 13, 2000 - March 12, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ELKHART, IN
Past

July 15, 1999 - November 14, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 15, 1999 - November 14, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

August 20, 1996 - July 21, 1999

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

March 20, 1989 - July 3, 1989

NYLIFE SECURITIES LLC

BD
CRD#: 5167
Past

September 20, 1988 - January 10, 1989

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
Past

September 20, 1988 - January 10, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

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, 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
Florida
(4/18/2025)
IAR
Indiana
(11/1/2023)
IAR
Texas
(2/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HORNOR, TOWNSEND & KENT, LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
1847 FINANCIAL LLCSHAREHOLDER
GUNZENHAUSER, RADFORD MICHAELFINOP7253452
HUCKERBY, KEITH GORDONMANAGER2641591
MASON, ANN-MARIECHIEF LEGAL OFFICER AND SECRETARY7145020
MULLER, NIKI LEEPRINCIPAL OPERATIONS OFFICER7364066
NAGENGAST, HEATHER JILLPRESIDENT, MANAGER5300554
O'MALLEY, DAVID MICHAELCHAIRMAN AND MANAGER4468593
ROBINSON, VICTORIA MARIECHIEF COMPLIANCE OFFICER, MANAGER4556827
WYANT, JUSTINMANAGER8146157

Regulatory assets under management

Total Number of Accounts31,522
AUM (Assets Under Management)$ 7,753,847,039

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031Elkhart, IN 46514

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