SR
Steven P. Randby
HORNOR, TOWNSEND & KENT
Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 3230364
SR
Professional summary
Steven P Randby, who also goes by Steven Randby, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Norwalk, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Randby
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 & INVESTMENT | INVESTMENT RELATED: YES | DBA NAME: WEALTH CONTINUUM GROUP | POSITION HELD:AGENT | ADDRESS: 187 DANBURY RD WILTON CT 06897 | START DATE: 1/20/2017 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INSURANCE COMPANY. 2) RESTAURANT | INVESTMENT RELATED - NO | DBA NAME: TABLE 104, LLC | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 299 LONG RIDGE RD, STAMFORD, CT | START DT: 1/15/2014 | NATURE OF ACTIVITY: RETAIL SALES | APPROX HRS PER MTH: LESS THAN 10 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 HRS | DESCRIPTION OF DUTIES: 3) INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: THE ADVOCACY GROUP | POSITION HELD:PRESIDENT | ADDRESS: 187 DANBURY RD WILTON, CT 06897 | START DATE: 8/5/2016 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES:SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Steven P Randby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven P Randby'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 6, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 50 Washington St, Norwalk, CT 06854RIA
BD
CRD#: 4031
Norwalk, CT
Current
August 18, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 50 Washington St, Norwalk, CT 06854RIA
BD
CRD#: 4031
Norwalk, CT
Past
April 20, 2005 - August 18, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
RYE BROOK, NY
Past
June 10, 1999 - March 28, 2005
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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, 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
California(4/16/2021)
RR
Connecticut(8/18/2016)
IAR
Connecticut(4/6/2017)
RR
Florida(7/24/2023)
IAR
Florida(7/25/2023)
RR
Massachusetts(8/18/2016)
RR
New Jersey(8/18/2016)
RR
New York(8/18/2016)
RR
North Carolina(8/18/2016)
RR
Pennsylvania(7/19/2018)
RR
South Carolina(8/18/2016)
RR
Virginia(10/9/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
