SH
Stephen R. Herman
HORNOR, TOWNSEND & KENT
NEW YORK, NY 10007
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CRD#: 243865
SH
Professional summary
Stephen Robert Herman is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Stephen has worked at 3 firms and has passed the 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) PROVIDING INSURANCE SALES UNDER THE NAME OF STEPHEN R. HERMAN, CLU, CHFC, INVESTMENT-RELATED, 30 Vesey St, 9th FL, New York, NY 10007, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, OWNER, START DATE: 1962, APPROX. NUMBER OF HOURS/MONTH: 50, APPROX. NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 2-3 PER DAY, DUTIES: SERVICE AND SALES OF INVESTMENTS, LIFE, HEALTH AND DISABILITY INSURANCE INCLUDING LIFE SETTLEMENTS EFFECTIVE 09/09/2008. 2) BOY SCOUTS EXECUTIVE COMMITTEE, INVESTMENT-RELATED, 544 BROADWAY, MASSAPEQUA, NY 11758, VOLUNTARY YOUTH DEVELOPMENT ORGANIZATION, BOY SCOUT COUNCIL DIRECTOR, START DATE: 01/10/1989, APPROXIMATE NUMBER OF HOURS/MONTH: 10-25, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10, DUTIES: OVERSEEING THE FINANCES, INVESTMENTS AND ACCOUNTING WITH OTHER COMMITTEE MEMBERS. 3) CONDURA CAPITAL ADVISORS, INVESTMENT-RELATED, 30 Vesey St, 9th FL, New York, NY 10007, MARKETING NAME, EXECUTIVE VP/CONSULTANT, START DATE: 01/01/15, APPROXIMATE NUMBER OF HOURS/MONTH: 10-25, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: MARKETING WITH THE PRESIDENT OF THE COMPANY. THE DBA NAME IS TO BE USED FOR BRANDING PURPOSES AND TO MARKET FINANCIAL SERVICES. 4) LANDLORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 255 VISTA DRIVE JERICHO, NY 11753 | START DATE: 11/9/2018 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: COLLECT RENTS AND UPKEEP. 5) "AUSTIN'S NON-PROFIT FOR SPECIAL NEEDS PEOPLE" | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: OFFICER/TRUSTEE | ADDRESS: 1 WIMBLEDON COURT,JERICHO,N.Y. 11753 | START DATE: 12/12/2021 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 |DESCRIPTION OF DUTIES: PRESIDENT OF CHARITY WORKING WITH FAMILY MEMBERS WHO ARE OFFICERS :CHARITY IS FOR A FAMILY MEMBER WHO IS IN RESIDENCE IN NYS, FAMILY WILL USE NONPROFIT FOR SUPPLEMENT SERVICES AND EQUIPMENT FOR ALL OF THE RESIDENCE IN THE GROUP
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Herman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Robert Herman'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 19, 2021 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Current
February 22, 1972 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Past
March 10, 1982 - June 3, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 14, 1972 - January 27, 1975
SECURITY INVESTMENT SERVICES CORP.
BD
CRD#: 760
Past
March 22, 1968 - November 30, 1972
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
Colorado(12/11/1998)
RR
Connecticut(6/24/1986)
RR
Florida(1/14/1988)
RR
New Jersey(2/3/1988)
RR
New York(3/20/1984)
IAR
New York(3/19/2021)
RR
Pennsylvania(9/7/2010)
Exams
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: 3/20/1968
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.
