KW
Karolyn J. Wotring
HORNOR, TOWNSEND & KENT
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2519161
KW
Professional summary
Karolyn Joy Wotring, who also goes by Karolyn Booker, Karolyn Joy Wotring, Karolyn Wotring, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Boca Raton, Florida.
Karolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Karolyn has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karolyn Booker | Karolyn Joy Wotring | Karolyn Wotring
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: 1847FINANCIAL | POSITION HELD: AGENT | ADDRESS: 2600 N MILITARY TRAIL, SUITE 420, BOCA RATON, FL 33431 | START DATE: 06/06/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 160 | APPROX TRADING HRS PER MTH: 128 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS. 2) FSW ADVISORS | INVESTMENT RELATED: YES | DBA NAME: FSW ADVISORS | POSITION HELD: OWNER | ADDRESS: 400 SCOTIA DR APT 203 HYPOLUXO, FL 33462 | START DATE: 06/06/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 160 | APPROX TRADING HRS PER MTH: 128 | DESCRIPTION OF DUTIES: SPEAKING, TEACHING, SALES AND SERVICE OF LIFE INSURANCE AND INVESTMENTS AS WELL AS FINANCIAL PLANNING FOR WOMEN AND DIVORCE FINANCIAL CONSULTING. 3) NON-PROFIT NETWORKING | INVESTMENT RELATED: NO | DBA NAME: WOMENS EXECUTIVE CLUB OF SOUTH FLORIDA | POSITION HELD: BOARD OF DIRECTOR/SECRETARY | ADDRESS: BOCA RATON, FL | START DATE: 06/06/2024 | NATURE OF ACTIVITY: NON-PROFIT NETWORKING | APPROX HRS PER MTH: 6 | APPROX TRADING HRS PER MTH: 5 | DESCRIPTION OF DUTIES: TAKE MEETING MINUTES AT MONTHLY BOARD MEETINGS, ATTEND ONE PLANNING MEETING ANNUALLY. ATTEND EVENTS, ASSIST WITH REGISTRATION AND WELCOMING OF MEMBERS.
CRS (Client Relationship Summary) - RIA
Click below to view Karolyn Joy Wotring's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karolyn Joy Wotring'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
June 19, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2600 North Military Trail Suite 420, Boca Raton, FL 33431RIA
BD
CRD#: 4031
Boca Raton, FL
Current
June 6, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2600 North Military Trail Suite 420, Boca Raton, FL 33431RIA
BD
CRD#: 4031
Boca Raton, FL
Past
September 24, 2021 - June 7, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
BOCA RATON, FL
Past
February 8, 2019 - September 23, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
BOCA RATON, FL
Past
February 7, 2019 - June 7, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOCA RATON, FL
Past
August 8, 2018 - November 7, 2018
EHLERT FINANCIAL GROUP, INC.
RIA
CRD#: 112150
LINCOLNSHIRE, IL
Past
June 16, 2016 - June 7, 2018
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
LIBERTYVILLE, IL
Past
April 5, 2016 - June 7, 2018
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
LIBERTYVILLE, IL
Past
March 3, 1995 - April 22, 1999
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
February 27, 1995 - March 7, 1995
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
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
Arizona(6/6/2024)
RR
Florida(6/6/2024)
IAR
Florida(6/19/2024)
RR
Illinois(6/6/2024)
RR
Nebraska(3/21/2025)
RR
Texas(6/6/2024)
IAR
Texas(3/28/2025)
RR
Wisconsin(6/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Boca Raton, FL 33431TRUST BUT VERIFY
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