Catina Lashay Risper
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Catina Lashaye Risper, Tina Lashaye Risper
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
Contact Information
Main Address
161 Washington Street Suite 1111, Conshohocken, PA 19428Mailing Address
161 Washington Street Suite 1111, Conshohocken, PA 19428Phone Number
(215) 957-7300Established
Delaware since 09/09/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
485SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | — |
| DAVIS, LISA BETH | CO-PRESIDENT | 5985055 |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| KANE, MICHAEL VITAS | CO-PRESIDENT | 5272677 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| ROMENESKO, DELANA RAQUEL | PRINCIPAL OPERATIONS OFFICER | 2656165 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory Assets Under Management
Total Number of Accounts
28,369AUM (Assets Under Management)
$9,014,857,753Disclosures
Regulatory Event
11Arbitration
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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.
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Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
(1/7/2011)
(5/16/2016)
(2/8/2024)
(5/16/2016)
(1/21/2026)
(1/26/2023)
(4/12/2012)
(9/15/2020)
(3/31/2010)
(8/6/2014)
(1/9/2026)
(8/6/2007)
(3/17/2010)
(8/23/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2000About the Series 9 examSRO Registrations
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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).
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