AF
Arthur A. Finkle
HORNOR, TOWNSEND & KENT
Coral Gables, FL 33134
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CRD#: 207901
AF
Professional summary
Arthur Allen Finkle is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Coral Gables, Florida.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Arthur has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 1 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: PROVIDING INSURANCE SALES UNDER THE NAME OF ARTHUR FINKLE | Position Held: Agent | Address: 2100 PONCE DELEON BLVD. STE. 901, CORAL GABLES, FL 33134 | Start Date: 05/1966 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: 41-100 Hrs | Approx Trading Hrs Per Mth: 41-100 Hrs | Description of Duties: INSURANCE SALES, INCLUDING LIFE SETTLEMENTS EFFECTIVE 12/15/2010. 2) FINKLE FINANCIAL PLANNING, INVESTMENT-RELATED, , 2100 PONCE DELEON BLVD. STE. 901, CORAL GABLES, FL 33134, FINANCIAL SERVICES, PROPRIETOR/OWNER, START DATE: 2011, APPROX. NUMBER OF HOURS/MONTH: 25-40, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: 25-40, DUTIES: CUSTOMIZE FINANCIAL PLANS. 3) EXPERT WITNESS | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: TESTIMONY (OWNER) | ADDRESS: 2100 PONCE DELEON BLVD., STE. 901, CORAL GABLES, FL 33134 | START DATE: 4/1/2013 | NATURE OF ACTIVITY: SERVICE INDUSTRY | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: PROVIDE EXPERT WITNESS TESTIMONY FOR LITIGATION REGARDING SECURITIES ,LIFE AND DISABILITY INSURANCE. 4) ARTHUR & AMELIA FINKLE PRIVATE CHARITABLE FOUNDATION | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: TRUSTEE | ADDRESS: 2100 PONCE DELEON BLVD. SUITE 901 CORAL GABLES, FL 33134 | START DATE: 11/23/2021 | NATURE OF ACTIVITY: PRIVATE CHARITABLE FAMILY FOUNDATION |APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES:TRUSTEE/FOUNDER.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Allen Finkle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Allen Finkle'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
April 25, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2100 Ponce Deleon Blvd Suite 901, Coral Gables, FL 33134RIA
BD
CRD#: 4031
Coral Gables, FL
Current
August 16, 1973 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2100 Ponce Deleon Blvd Suite 901, Coral Gables, FL 33134RIA
BD
CRD#: 4031
Coral Gables, FL
Past
March 29, 2004 - March 16, 2005
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CORAL GABLES, FL
Past
November 19, 1989 - February 7, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 1, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(4/22/2025)
RR
Arizona(1/19/2022)
RR
Arkansas(1/28/2011)
RR
California(4/13/2004)
RR
Colorado(6/26/2020)
RR
Connecticut(11/25/2015)
RR
Florida(2/12/1990)
IAR
Florida(4/25/2012)
RR
Georgia(2/17/2005)
RR
Illinois(2/17/2021)
RR
Iowa(4/18/2017)
RR
Louisiana(8/20/2014)
RR
Maryland(1/11/2023)
RR
Massachusetts(7/22/2014)
RR
Michigan(7/30/2019)
RR
Missouri(9/26/2014)
RR
Montana(6/26/2024)
RR
Nevada(10/22/2014)
RR
New Hampshire(7/22/2014)
RR
New Jersey(7/16/2015)
RR
New Mexico(3/6/2019)
RR
New York(4/12/2005)
RR
North Carolina(7/22/2014)
RR
South Carolina(7/12/2017)
RR
Texas(8/6/2014)
RR
Utah(2/24/2016)
RR
Virginia(3/19/2015)
RR
Washington(3/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/11/1973
Registered Representative ExaminationSRO 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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Coral Gables, FL 33134TRUST BUT VERIFY
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