GJ
Gary P. Johanson
HORNOR, TOWNSEND & KENT
Glendale, AZ
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CRD#: 2609048
GJ
Professional summary
Gary Paul Johanson is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Glendale, Arizona.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gary has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
INSURANCE BROKERAGE - NO DBA, INVESTMENT-RELATED, 17354 N 64TH LANE, GLENDALE, AZ 85308, INSURANCE SALES AND SERVICE, AGENT, START DATE: 10/2014, APPROXIMATE NUMBER OF HOURS/MONTH: 10, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10, DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Paul Johanson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Paul Johanson'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
January 15, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Glendale, AZ
Current
November 2, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Glendale, AZ
Past
April 16, 2007 - November 1, 2012
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
SUN CITY, AZ
Past
November 21, 2005 - November 1, 2012
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
SUN CITY, AZ
Past
April 14, 2004 - October 14, 2005
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
March 3, 1998 - April 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
March 28, 1996 - March 4, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
April 20, 1995 - March 29, 1996
PRODUCT DISTRIBUTORS, INC.
BD
CRD#: 35540
SCHAUMBURG, 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
Alabama(1/3/2023)
RR
Arizona(11/2/2012)
IAR
Arizona(1/15/2013)
RR
California(11/29/2012)
RR
Colorado(11/29/2012)
RR
Florida(11/29/2012)
RR
Illinois(11/29/2012)
RR
Iowa(11/29/2012)
RR
Nevada(3/26/2014)
RR
New Mexico(12/5/2013)
RR
Ohio(12/9/2014)
RR
South Dakota(11/29/2012)
RR
Utah(11/29/2012)
RR
Washington(11/29/2012)
Exams
State Security Law Exam
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.
