AS
Anthony R. Sergio
HORNOR, TOWNSEND & KENT
Harleysville, PA 19438
Some features on this profile are disabled
CRD#: 2576955
AS
Professional summary
Anthony Robert Sergio SR, who also goes by Anthony Robert Sergio, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Harleysville, Pennsylvania.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Anthony has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Robert Sergio
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)1847 FINANCIAL INSURANCE BROKERAGE | INVESTMENT RELATED - YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT | ADDRESS: 388 MAIN ST HARLEYSVILLE, PA 19438| START DT: 8/8/2016 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) LANDORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 388 MAIN ST SUITE B HARLEYVILLE PA 19438 | START DATE: 8/2/2016 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: NONE, PROPERTY OWNER ONLY MANAGED BY REALITY COMPANY. 3) INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: SERGIO FINANCIAL GROUP | POSITION HELD:PROPRIETOR/OWNER | ADDRESS: 388 MAIN STREET HARLEYSVILLE, PA 19438 | START DATE: 12/19/2019 | NATURE OF ACTIVITY: INSURANCE , BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS |DESCRIPTION OF DUTIES: INSURANCE & INVESTMENT SALES & SERVICE (LIFE INSRUANCE, ANNUITIES, ADVISORY, DISABILITY INSURANCE) FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 4)MALENO FINANCIAL SERVICES LLC; POSITION: 1% OWNER OF LLC NATURE: LIFE INSURANCE BROKERAGE INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/09/2023 ADDRESS: 345 MAIN STREET, SUITE 103, HARLEYSVILLE PA 19438, UNITED STATES DESCRIPTION: LLC OWNERAND FIXED INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Robert Sergio SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Robert Sergio SR'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
September 27, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 388 Main St, Harleysville, PA 19438RIA
BD
CRD#: 4031
Harleysville, PA
Current
August 8, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 388 Main St, Harleysville, PA 19438RIA
BD
CRD#: 4031
Harleysville, PA
Past
November 2, 2007 - August 11, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
LANSDALE, PA
Past
March 22, 1995 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
LANSDALE, PA
Past
March 22, 1995 - August 11, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LANSDALE, PA
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
California(6/30/2022)
RR
Florida(8/8/2016)
RR
Massachusetts(6/23/2023)
RR
New Jersey(8/8/2016)
RR
North Carolina(8/8/2016)
RR
Ohio(8/8/2016)
RR
Pennsylvania(8/8/2016)
IAR
Pennsylvania(9/27/2016)
RR
South Carolina(5/30/2024)
RR
Virginia(8/8/2016)
RR
West Virginia(5/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
