LB
Lori R. Bogatz
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
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CRD#: 3040406
LB
Professional summary
Lori Renae Bogatz is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lori has worked at 6 firms and has passed the Series 66, Series 99TO, 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.
NAME OF ACTIVITY BOGATZ HEATING AND AIR CONDITIONING | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: OFFICE CLEANER | ADDRESS: 20132 HUSKER DR, GRETAN, NE 68028 | START DATE: 09/1992 | NATURE OF ACTIVITY: OFFICE CLEANER | APPROX HRS PER MTH: 12 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: CLEANING OFFICE AND OTHER TASKS IN THE COMPANY'S OFFICE
CRS (Client Relationship Summary) - RIA
Click below to view Lori Renae Bogatz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Renae Bogatz'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, 2025 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
January 15, 2025 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
November 8, 2024 - January 6, 2025
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
ATLANTA, GA
Past
June 14, 2024 - January 6, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
November 17, 2023 - January 6, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 21, 2012 - November 8, 2024
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LAVISTA, NE
Past
August 7, 2009 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
January 2, 2003 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LA VISTA, NE
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
Nebraska(1/15/2025)
IAR
Nebraska(1/15/2025)
RR
Pennsylvania(1/15/2025)
IAR
Pennsylvania(1/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
