SS
Steven D. Schlegel
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
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CRD#: 2210096
SS
Professional summary
Steven David Schlegel is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven David Schlegel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven David Schlegel'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
March 17, 2026 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
March 16, 2026 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
July 2, 2024 - March 20, 2026
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WALTHAM, MA
Past
July 2, 2024 - March 20, 2026
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
February 27, 2024 - July 5, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
TEMPE, AZ
Past
February 22, 2024 - July 5, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
TEMPE, AZ
Past
January 15, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
October 31, 2005 - September 18, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
October 31, 2005 - September 18, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
Past
March 3, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
READING, PA
Past
January 22, 2004 - October 31, 2005
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
January 22, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
October 15, 2002 - June 3, 2004
LEESPORT WEALTH MANAGEMENT, LLC
RIA
CRD#: 122474
WYOMISSING, PA
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 18, 1992 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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(3/16/2026)
RR
Alaska(3/16/2026)
RR
Arizona(3/16/2026)
IAR
Arizona(3/24/2026)
RR
Arkansas(3/16/2026)
RR
California(3/16/2026)
RR
Colorado(3/16/2026)
RR
Connecticut(3/16/2026)
RR
Delaware(3/16/2026)
RR
District of Columbia(3/16/2026)
RR
Florida(3/16/2026)
RR
Georgia(3/16/2026)
RR
Hawaii(3/16/2026)
RR
Idaho(3/16/2026)
RR
Illinois(3/16/2026)
RR
Indiana(3/16/2026)
RR
Iowa(3/16/2026)
RR
Kansas(3/16/2026)
RR
Kentucky(3/16/2026)
RR
Louisiana(3/16/2026)
RR
Maine(3/16/2026)
RR
Maryland(3/16/2026)
RR
Massachusetts(3/16/2026)
RR
Michigan(3/16/2026)
RR
Minnesota(3/16/2026)
RR
Mississippi(3/16/2026)
RR
Missouri(3/16/2026)
RR
Montana(3/16/2026)
RR
Nebraska(3/16/2026)
RR
Nevada(3/16/2026)
RR
New Hampshire(3/16/2026)
RR
New Jersey(3/16/2026)
RR
New Mexico(3/16/2026)
RR
New York(3/16/2026)
RR
North Carolina(3/16/2026)
RR
North Dakota(3/16/2026)
RR
Ohio(3/16/2026)
RR
Oklahoma(3/16/2026)
RR
Oregon(3/16/2026)
RR
Pennsylvania(3/16/2026)
IAR
Pennsylvania(3/17/2026)
RR
Rhode Island(3/16/2026)
RR
South Carolina(3/16/2026)
RR
South Dakota(3/16/2026)
RR
Tennessee(3/16/2026)
RR
Texas(3/16/2026)
RR
Utah(3/16/2026)
RR
Vermont(3/16/2026)
RR
Virginia(3/16/2026)
RR
Washington(3/16/2026)
RR
West Virginia(3/16/2026)
RR
Wisconsin(3/16/2026)
RR
Wyoming(3/16/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 2/22/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
