LS
Louis A. Spittel
HORNOR, TOWNSEND & KENT
COLUMBIA, MD
Some features on this profile are disabled
CRD#: 2538495
LS
Professional summary
Louis Albert Spittel III, ChFC®, CLU®, who also goes by Bert Spittel, III Louis Albert Spittel, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Columbia, Maryland.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Louis has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bert Spittel | Iii Louis Albert Spittel
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 - DBA: 1847FINANCIAL, INVESTMENT-RELATED, 11713 MORNINGMIST LANE, COLUMBIA, MD 21044; INSURANCE SALES AND SERVICES, AGENT, START DATE: 08/01/2011, APPROXIMATE NUMBER OF HOURS/MONTH: 10-25, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: THE SALE OF LIFE AND HEALTH PRODUCTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE COMPANY. SECURITIES INVESTMENTS ARE OFFERED THROUGH HTK.
CRS (Client Relationship Summary) - RIA
Click below to view Louis Albert Spittel III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Albert Spittel III'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®
Experience
Current
November 15, 2002 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
COLUMBIA, MD
Current
September 24, 2002 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
COLUMBIA, MD
Past
March 18, 2002 - July 16, 2002
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
UPPER MARLBORO, MD
Past
January 2, 2002 - July 16, 2002
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
October 5, 2000 - January 14, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 12, 1998 - October 6, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 12, 1998 - October 6, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 11, 1996 - October 23, 1998
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
December 23, 1994 - December 31, 1995
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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(8/18/2025)
RR
Delaware(5/9/2006)
RR
District of Columbia(2/2/2010)
RR
Florida(10/8/2015)
RR
Georgia(3/8/2018)
RR
Kentucky(2/20/2025)
RR
Maryland(9/24/2002)
IAR
Maryland(11/15/2002)
RR
Michigan(9/12/2019)
RR
New Jersey(7/28/2016)
RR
North Carolina(5/29/2014)
RR
Pennsylvania(9/14/2004)
RR
South Carolina(9/26/2019)
RR
Texas(1/4/2023)
IAR
Texas(1/4/2023)
RR
Virginia(6/11/2003)
Exams
State Security Law Exam
General Industry/Product 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.
