MD
Maureen W. Decker
HORNOR, TOWNSEND & KENT
Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 4380169
MD
Professional summary
Maureen W Decker, who also goes by Maureen Ann Decker, Maureen Webster Decker, Maureen Ann Sullivan, Maureen Sullivan, Maureen Ann Webster, Maureen Webster, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Norwalk, Connecticut.
Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Maureen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 3, Series 7, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maureen Ann Decker | Maureen Webster Decker | Maureen Ann Sullivan | Maureen Sullivan | Maureen Ann Webster | Maureen Webster
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) INSURANC& INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: WEALTH CONTINUUM GROUP | POSITION HELD:AGENT | ADDRESS: 187 DANBURY RD 2ND FLOOR, WILTON, CT 06897 | START DATE: 7/1/2020 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 |DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: PRIME FINANCIAL SERVICES | POSITION HELD:AGENT | ADDRESS: 187 DANBURY RD 2ND FLOOR, WILTON, CT 06897 | START DATE: 7/1/2020 | NATURE OF ACTIVITY:MULTI-LINE INSURANCE | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 |DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 3) TAX PREPARER | INVESTMENT RELATED: NO | DBA NAME: PRIME FINANCIAL SERVICES | POSITION HELD: OTHER - |ADDRESS: 187 DANBURY RD 2ND FLOOR, WILTON, CT 06897 | START DATE: 7/1/2020 | NATURE OF ACTIVITY: SERVICE INDUSTRY | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES:DURING TAX SEASON SUPPLYING TAX PREPARATION. 4) TOWN OF REDDING CONNECTICUT | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: EMPLOYEE | ADDRESS:100 HILL ROAD REDDING CONNECTICUT 06785 | START DATE: 7/1/2020 | NATURE OF ACTIVITY: COMMUNITY SERVICE |APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES:WORKING AT THE VOTING POLLS. 5) STUDENT LOAN ANALYSIS | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: OTHER - | ADDRESS: 126 PICKETTS RIDGE ROAD REDDING, CT 06896 | START DATE: 9/10/2020 | NATURE OF ACTIVITY: EDUCATOR | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: COMPREHENSIVE REVIEW OF COLLEGE GRADUATES' STUDENT LOAN PORTFOLIO. EVALUATE OPTIONS SUCH AS REPAYMENT PLANS AND FEDERAL PROGRAMS SUCH AS LOAN FORGIVENESS.
CRS (Client Relationship Summary) - RIA
Click below to view Maureen W Decker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maureen W Decker'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
October 20, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 50 Washington St, Norwalk, CT 06854RIA
BD
CRD#: 4031
Norwalk, CT
Current
July 9, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 50 Washington St, Norwalk, CT 06854RIA
BD
CRD#: 4031
Norwalk, CT
Past
May 24, 2018 - March 10, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WESTPORT, CT
Past
November 14, 2013 - April 10, 2015
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
August 31, 2010 - June 18, 2012
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
December 22, 2009 - November 5, 2013
FIDUCIARY ASSET MANAGEMENT LLC
RIA
CRD#: 107171
ST. LOUIS, MO
Past
December 7, 2007 - October 19, 2009
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
December 20, 2002 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
May 24, 2001 - November 20, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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(3/21/2022)
RR
Connecticut(7/9/2020)
IAR
Connecticut(10/20/2020)
RR
Florida(2/8/2023)
RR
Maryland(6/1/2022)
RR
Massachusetts(9/25/2023)
RR
Missouri(3/1/2023)
RR
New Jersey(10/27/2021)
RR
New York(5/7/2021)
RR
Ohio(7/14/2023)
RR
Pennsylvania(5/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
