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Derek Nelson

HORNOR, TOWNSEND & KENT
TAMPA, FL 33609
Some features on this profile are disabled
CRD#: 2609311
DN

Professional summary

Derek Nelson, who also goes by Derek Nelson, is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in Tampa, Florida.

Derek is registered as a RR (Registered Representative) and started their career in finance in 1995. Derek has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Nelson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Nelson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 19, 2026 - Present

HORNOR, TOWNSEND & KENT, LLC

Office #1: 5201 West Kennedy Blvd Suite 640, Tampa, FL 33609
RIA
BD
CRD#: 4031
TAMPA, FL
Past

August 2, 2013 - October 31, 2013

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
GOSHEN, NY
Past

July 23, 2013 - October 31, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
GOSHEN, NY
Past

June 13, 2013 - July 8, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEWBURGH, NY
Past

April 23, 2013 - May 8, 2013

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
GOSHEN, NY
Past

September 13, 2012 - December 31, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
GOSHEN, NY
Past

August 26, 2011 - August 17, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MIDDLETOWN, NY
Past

October 1, 2000 - January 22, 2008

OLSEN SECURITIES CORP.

BD
CRD#: 33072
CORTLANDT MANOR, NY
Past

August 18, 1997 - July 9, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

March 18, 1996 - October 22, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

October 19, 1995 - February 15, 1996

MAIDSTONE FINANCIAL, INC.

BD
CRD#: 31804
NEW YORK, NY

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, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/26/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/19/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 4/14/1999
NYSE Trading Assistant Examination
SRO Registrations
RR
FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)
HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

Direct owners and executive officers

NamePositionCRD#
1847 FINANCIAL LLCSHAREHOLDER
GUNZENHAUSER, RADFORD MICHAELFINOP7253452
HUCKERBY, KEITH GORDONMANAGER2641591
MASON, ANN-MARIECHIEF LEGAL OFFICER AND SECRETARY7145020
MULLER, NIKI LEEPRINCIPAL OPERATIONS OFFICER7364066
NAGENGAST, HEATHER JILLPRESIDENT, MANAGER5300554
O'MALLEY, DAVID MICHAELCHAIRMAN AND MANAGER4468593
ROBINSON, VICTORIA MARIECHIEF COMPLIANCE OFFICER, MANAGER4556827
WYANT, JUSTINMANAGER8146157

Regulatory assets under management

Total Number of Accounts31,522
AUM (Assets Under Management)$ 7,753,847,039

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031Tampa, FL 33609

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