TL
Thomas E. Landy
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
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CRD#: 4463541
TL
Professional summary
Thomas Edward Landy is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
1) INSURANCE BROKERAGE DBA 1847 FINANCIAL, INVESTMENT RELATED, 161 WASHINGTON STREET FLOOR 11, SUITE 1111, CONSHOHOCKEN, PA 19428, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, AGENT. START DATE: 4/02. # OF HRS/MO: 24/MO; # OF HRS/MO DURING TRADING: 24/MO. DUTIES: SALES AND SERVICE. 2)RETIREMENT PLAN CONSULTING AND INSURANCE BROKERAGE | DBA: 1847 WEALTH ADVOCATE | POSITION: AGENT | NATURE: RETIREMENT PLAN CONSULTING AND INSURANCE BROKERAGE | INVESTMENT RELATED: YES | NUMBER OF HOURS: 100 | SECURITIES TRADING HOURS: 40 | START DATE: 04/25/2024 | ADDRESS: 161 WASHINGTON STREET, PA 19428, SUITE 1111, CONSHOHOCKEN PA 19428 | DESCRIPTION: RETIREMENT PLAN CONSULTING, EMPLOYEE EDUCATION, PERSONAL FINANCIAL PLANNING, INSURANCE BROKERAGE.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Landy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Landy'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 7, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
April 23, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
June 13, 2008 - April 17, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
KING OF PRUSSIA, PA
Past
June 13, 2008 - April 17, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
KING OF PRUSSIA, PA
Past
February 15, 2005 - June 6, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CONSHOHOCKEN, PA
Past
June 18, 2002 - June 6, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CONSHOHOCKEN, PA
Past
October 31, 2001 - June 5, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Arizona(7/23/2020)
RR
Connecticut(10/18/2022)
RR
Delaware(3/24/2021)
RR
Florida(11/18/2016)
RR
Georgia(5/15/2023)
RR
Hawaii(7/2/2025)
RR
Maryland(6/27/2023)
RR
Massachusetts(4/23/2012)
RR
Nevada(3/15/2023)
RR
New Jersey(4/23/2012)
RR
New York(4/23/2012)
RR
North Carolina(5/23/2012)
RR
Pennsylvania(4/23/2012)
IAR
Pennsylvania(5/7/2012)
RR
Vermont(1/13/2025)
RR
Virginia(4/23/2012)
RR
Washington(9/24/2025)
Exams
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.
