Steven Caruso
Professional summary
Steven Caruso, who also goes by Steven Frank Caruso, 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 1994. Steven has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 31, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Caruso's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Caruso's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428December 13, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428June 7, 2012 - December 10, 2012
WALL STREET FINANCIAL GROUP, INC.
April 23, 2007 - January 13, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 2005 - May 9, 2007
ACCELERATED CAPITAL GROUP
June 7, 2001 - May 5, 2003
WILLIAM O'NEIL SECURITIES
January 27, 2000 - November 13, 2000
WALL STREET FINANCIAL GROUP, INC.
September 2, 1997 - January 31, 2000
GOLDK INVESTMENT SERVICES, INC
August 31, 1995 - July 23, 1997
NEBRASKA HUDSON COMPANY, INC.
April 26, 1995 - June 13, 1995
KENNEDY, CABOT & CO.
August 15, 1994 - March 3, 1995
MORGAN STANLEY DW INC.
May 6, 1994 - July 25, 1994
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/4/2013)
(12/13/2012)
(3/19/2021)
(4/20/2022)
(4/20/2022)
Exams
Series 99TO
Date: 10/23/2025
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
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.
