EK
Elizabeth J. Kassen
HORNOR, TOWNSEND & KENT
Santa Fe, TX
Some features on this profile are disabled
CRD#: 2714019
EK
Professional summary
Elizabeth Janine Kassen, who also goes by Beth Kassen, Elizabeth Kassen, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Santa Fe, Texas.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Elizabeth has worked at 15 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 10, Series 24, Series 9 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Beth Kassen | Elizabeth Kassen
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) NAME OF ACTIVITY SERIESTUTOR.COM | INVESTMENT RELATED: NO | DBA NAME: SERIESTUTOR.COM | POSITION HELD: TUTOR | ADDRESS: 3121 N ELM RD, SANTA FE, TX 77517 | START DATE: 04/23/2024 | NATURE OF ACTIVITY: HELP THOSE STUDYING FOR FINRA EXAMS WITH THEIR COMPREHENSION OF THE TOPICS | APPROX HRS PER MTH: 20 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: Mentor and train individuals studying for FINRA exams 2) BRAND AMBASSADOR | POSITION: 1099 Contractor | NATURE: Branding Company | INVESTMENT RELATED: No | NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 05/18/2024 ADDRESS: TX, United States | DESCRIPTION: My duties are to go to various supermarkets, liquor stores and other venues and hand out samples of wine or liquor, trying to sell it. 3) BRAND AMBASSADOR | POSITION: Employee | NATURE: wine and sprits - giving samples in stores- selling product | INVESTMENT RELATED: No | NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 | START DATE: 10/05/2002| ADDRESS: 3121 N Elm Rd, Santa Fe TX 77517 | DESCRIPTION: go to various grocery stores and liquor stores handing out samples of wine and/or spirits and try to sell the product 4) HORSE BOARDING|POSITION: I own the property. I will board horses for a monthly fee. I will feed them and clean their stalls as part of my duties|NATURE: Horse boarding | INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2025 | ADDRESS: 3121 N Elm Rd, Santa Fe TX 77517 | DESCRIPTION: Feed horses, clean their stalls, attend to them for medical issues if needed, turn them out. Responsible for their well being 5) BRAND AMBASSADOR | POSITION: 1099 independent contractor- hand out samples of beer, wine, spirits at various grocery and liquor stores around the Houston TX area. NATURE: Promotions/Sales / Marketing INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2025 | ADDRESS: , TX | DESCRIPTION: Hand out samples of wine, beer, spirits at local grocery and liquor stores in hopes they will purchase said product 6) BRAND AMBASSADOR | POSITION: Independent Contractor for Dragon Marketing NATURE: Handing out samples of spirits and wines to customers to sell product. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/07/2025 | ADDRESS: TX , United States | DESCRIPTION: Hand out samples of beer, wine, spirits at various grocery and liquor stores to potential customers in hopes they purchase the product. 7) BRAND AMBASSADOR | POSITION: sub contractor NATURE: Promoting beer/brewery | INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/10/2025 | ADDRESS: 26452 Sorters McClellan Rd, Porter TX 77365 | DESCRIPTION: Promote the brand at local supermarkets/ liquor stores and other venues.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Janine Kassen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Janine Kassen'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
April 23, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #2: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Santa Fe, TX
Current
April 24, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #2: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Santa Fe, TX
Past
March 19, 2024 - May 10, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 7, 2024 - May 10, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
Santa Fe, TX
Past
July 25, 2023 - January 10, 2024
HEIM, YOUNG & ASSOCIATES, INC.
BD
CRD#: 38993
SPRINGFIELD, MO
Past
June 22, 2023 - August 2, 2023
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
June 22, 2023 - August 2, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Sante Fe, TX
Past
April 11, 2023 - August 2, 2023
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
SYRACUSE, NY
Past
April 11, 2023 - August 2, 2023
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
February 8, 2018 - January 31, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Santa Fe, TX
Past
February 8, 2018 - January 31, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
Past
July 10, 2015 - January 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
May 21, 2015 - January 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
February 14, 2012 - April 30, 2015
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
April 22, 2011 - February 14, 2012
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
FRIENDSWOOD, TX
Past
December 6, 2007 - July 17, 2009
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
July 11, 2007 - October 31, 2007
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
December 15, 2005 - June 28, 2007
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ELLISVILLE, MO
Past
August 28, 2002 - December 14, 2005
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
CHESTERFIELD, MO
Past
August 28, 2002 - December 14, 2005
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
June 21, 2001 - August 23, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
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
Pennsylvania(4/24/2024)
IAR
Texas(4/23/2024)
RR
Texas(4/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
