JS
John M. Stevens
HORNOR, TOWNSEND & KENT
Ogden, UT
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CRD#: 435909
JS
Professional summary
John Michael Stevens, who also goes by Mike Stevens, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Ogden, Utah.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. John has worked at 5 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Stevens
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: J. MICHAEL STEVENS AND ASSOCIATES, INVESTMENT RELATED, 6066 SOUTH 2400 EAST, P.O. BOX 150505, OGDEN, UT 84415, INSURANCE SALES AND SERVICE, OWNER/AGENT, START DATE: 07/23/14, APPROXIMATE NUMBER OF HOURS/MONTH: 25-40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Stevens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Stevens'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
May 31, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Ogden, UT
Current
September 6, 2001 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Ogden, UT
Past
March 6, 2000 - September 19, 2001
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
May 13, 1997 - March 14, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
October 20, 1980 - May 14, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 20, 1974 - May 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
Alabama(1/8/2025)
RR
Arizona(11/14/2011)
RR
California(2/21/2012)
RR
Colorado(3/27/2003)
RR
Florida(5/13/2015)
RR
Idaho(9/6/2001)
RR
Missouri(10/4/2022)
RR
Montana(4/21/2015)
RR
Nevada(5/4/2015)
RR
New Mexico(6/17/2021)
RR
Oklahoma(5/19/2021)
RR
Texas(5/11/2015)
RR
Utah(9/6/2001)
IAR
Utah(5/31/2007)
RR
Washington(3/10/2003)
RR
Wyoming(9/6/2001)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/15/1974
Registered Representative ExaminationSRO 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.
