Samuel T. Mccormick

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CRD#: 4477287

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.

Samuel Troy Mccormick was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2001. Samuel had worked at 9 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

November 1, 2010 - May 4, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

LAKE OSWEGO, OR

Past

January 28, 2010 - October 18, 2010

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PORTLAND, OR

Past

March 6, 2009 - November 3, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WEST LINN, OR

Past

July 17, 2008 - January 21, 2009

NEW ENGLAND SECURITIES

CRD#: 615

PORTLAND, OR

Past

May 14, 2007 - July 17, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

WEST LINN, OR

Past

March 20, 2003 - May 4, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PORTLAND, OR

Past

December 3, 2002 - January 9, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 3, 2002 - January 9, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 13, 2002 - December 11, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 5, 2001 - March 21, 2002

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

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

Series 63

Date: 12/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/4/2001

Investment Company Products/Variable Contracts Representative 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)

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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)

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.

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Firm Stability Insights

Samuel T. Mccormick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

NEW ENGLAND SECURITIES

EQUITABLE ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PRUCO SECURITIES, LLC.

FORESTERS EQUITY SERVICES, INC.

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/11/2001

Series 6

Date: 12/4/2001

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

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