CR
Catina L. Risper
HORNOR, TOWNSEND & KENT
Houston, TX 77057
Some features on this profile are disabled
CRD#: 2530838
CR
Professional summary
Catina Lashay Risper, who also goes by Catina Lashaye Risper, Tina Lashaye Risper, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Houston, Texas.
Catina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Catina has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catina Lashaye Risper | Tina Lashaye Risper
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) INVESTMENT RELATED: NO | DBA NAME: 1847FINANCIAL - HOUSTON | POSITION HELD: AGENT | ADDRESS: 5718 WESTHEIMER RD, SUITE 920, HOUSTON TX 77057 | START DATE: 8/23/2011 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO
CRS (Client Relationship Summary) - RIA
Click below to view Catina Lashay Risper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catina Lashay Risper'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, 2010 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057RIA
BD
CRD#: 4031
Houston, TX
Current
August 6, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057RIA
BD
CRD#: 4031
Houston, TX
Past
January 13, 2012 - October 29, 2021
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
RIA
CRD#: 119127
HOUSTON, TX
Past
May 3, 2010 - December 31, 2011
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
RIA
CRD#: 119127
HOUSTON, TX
Past
July 18, 2003 - July 24, 2007
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
HOUSTON, TX
Past
August 24, 1999 - July 11, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
August 24, 1999 - July 11, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 19, 1997 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 20, 1997 - November 4, 1997
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(1/7/2011)
RR
California(5/16/2016)
RR
Colorado(2/8/2024)
RR
Illinois(5/16/2016)
RR
Kansas(1/26/2023)
RR
Louisiana(4/12/2012)
RR
Michigan(9/15/2020)
RR
Mississippi(3/31/2010)
RR
New Jersey(8/6/2014)
RR
Texas(8/6/2007)
IAR
Texas(3/17/2010)
RR
Washington(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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.
