CW
Charles W. Wodrich
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CRD#: 2715728
CW
Professional summary
Charles William Wodrich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Charles had worked at 5 firms, which includes HORNOR TOWNSEND & KENT LLC, INTEGRITY ALLIANCE LLC., EQUITRUST INVESTMENT MANAGEMENT SERVICES INC., FBL MARKETING SERVICES LLC, THRIVENT INVESTMENT MANAGEMENT INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chip Wodrich
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 NAME: PROLIFIC FINANCIAL SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: 13593 S 180TH AVE GOODYEAR, AZ 85338; NATURE OF OBA: FIXED INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE; POSITION, TITLE, RELATIONSHIP: OWNER (50%)/OFFICER/DIRECTOR; START DATE OF OBA: JULY 8, 2011; # HOURS/MONTH: LESS THAN 10 HRS/MONTHLY; # HOURS/MONTH DURING TRADING: LESS THAN 10 HRS/MONTHLY; DESCRIBE DUTIES: SALES & SERVICE OF FIXED INSURANCE CLIENTS. 2)INSURANCE BROKERAGE DBA NAME: PROLIFIC INSURANCE SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: 13593 S 180TH AVE GOODYEAR, AZ 85338; NATURE OF OBA: LIFE INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE; POSITION, TITLE, RELATIONSHIP: OWNER (50%) OFFICER/DIRECTOR; START DATE OF OBA: JULY 8, 2011; # HOURS/MONTH: MORE THAN 100 HRS/MONTHLY; # HOURS/MONTH DURING TRADING: MORE THAN 100 HRS/MONTHLY; DESCRIBE DUTIES: SALES & SERVICE OF LIFE, HEALTH/DI AND ANNUITY CLIENT ACCOUNTS. 3)INSURANCE BROKERAGE DBA NAME: WODRICH AGENCY INC.; INVESTMENT RELATED: NO; ADDRESS: 13593 S 180TH AVE GOODYEAR, AZ 85338; NATURE OF OBA: FIXED INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE; POSITION, TITLE, RELATIONSHIP: OWNER (50%); START DATE OF OBA: 2006; # HOURS/MONTH: LESS THAN 10 HRS/MONTHLY; # HOURS/MONTH DURING TRADING: LESS THAN 10 HRS/MONTHLY; DESCRIBE DUTIES: SALES AND SERVICE OF FIXED INSURANCE, LTC, DI AND P&C INSURANCE.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 29, 2014 - August 11, 2022
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
GOODYEAR, AZ
Past
December 5, 2013 - August 11, 2022
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
GOODYEAR, AZ
Past
July 15, 2011 - December 4, 2013
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
GOODYEAR, AZ
Past
July 8, 2011 - December 4, 2013
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
GOODYEAR, AZ
Past
December 4, 2008 - July 12, 2011
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
RIA
CRD#: 5308
WEST DES MOINES, IA
Past
March 2, 2005 - July 12, 2011
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
BUCKEYE, AZ
Past
June 26, 2004 - February 25, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SCOTTSDALE, AZ
Past
February 29, 1996 - February 25, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
