Daniel I. Forbes

Some features on this profile are disabled

CRD#: 4405908

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Ian Forbes was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

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.

1) REAL ESTATE & RENTAL PROPERTIES | INVESTMENT RELATED: NO | DBA NAME: REAL ESTATE PROPERITIES UNDER DANIEL I FORBES | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 2509 DUNHAVEN GLEN, SNELLVILLE, GA 30078 | START DATE: 2/10/2022 | NATURE OF ACTIVITY: REAL ESTATE SALES | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: THE BUYING AND SELLING OF REAL ESTATE PROPERTIES; AND RENTAL PROPERTY OWNERSHIP. 2) EMPRESS ROYAL TEES | POSITION: Partner | NATURE: I assist my wife with her apparel business | INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2024 | ADDRESS: 2509 Dunhaven Gln, Snellville GA 30078-7332 | DESCRIPTION: Assist my spouse in the decision making of her business 3) KATEACH | POSITION: Partner NATURE: Apparel company INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2024 | ADDRESS: 2509 Dunhaven Glen, Snellville GA 30078-7332 | DESCRIPTION: Assist in the design and decision making 4) D.O.N. CLOTHING | POSITION: Partner | NATURE: Apparel INVESTMENT RELATED: No | NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 | START DATE: 10/16/2024 | ADDRESS: 2509 Dunhaven Glen, Snellville GA 30078-7332 | DESCRIPTION: Assist in decision making

Blog Corner

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®

None

Experience

Past

March 4, 2022 - July 22, 2026

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

Conshohocken, PA

Past

February 10, 2022 - July 22, 2026

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Conshohocken, PA

Past

January 11, 2018 - February 1, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

DULUTH, GA

Past

January 9, 2018 - February 1, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

DULUTH, GA

Past

April 1, 2015 - December 18, 2017

TRIAD ADVISORS LLC

RIA

CRD#: 25803

NORCROSS, GA

Past

March 13, 2015 - December 18, 2017

TRIAD ADVISORS LLC

CRD#: 25803

NORCROSS, GA

Past

September 14, 2012 - March 6, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

ATLANTA, GA

Past

November 20, 2006 - March 6, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/3/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/14/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2011

General Securities Principal Examination

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)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel I. Forbes

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2012

Series 63

Date: 12/18/2006

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/18/2006

Series 53

Date: 12/14/2012

Series 24

Date: 6/3/2011

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

Similar Advisors