Richard F. Micliz
HORNOR, TOWNSEND & KENT
Tinton Falls, NJ 07753
Some features on this profile are disabled
CRD#: 4531411
Professional summary
Richard F Micliz, CFP® is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Tinton Falls, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 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 NAME: PRIMARY FINANCIAL, INVESTMENT RELATED, 4000 ROUTE 66 STE 20, TINTON FALLS, NJ 07753, INSURANCE SALES & SERVICE. AGENT, START DATE: 03/01/2012, APPROX NUMBER OF HOURS/MONTH: 10 TO 25, APPROX. NUMBER OF HOURS/MONTH DURING SECURITIES TRADING HOURS: 10 TO 25, DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) STRATEGIC ALLIANCE UNDER THE PAA PROGRAM - DBA: BAER MALLOZZI RISK MANAGEMENT AND ADVISORY SERVICES, LLC, INVESTMENT-RELATED, 1700 MADISON AVENUE, LAKEWOOD, NJ 08701, NATURE OF BUSINESS: ACCOUNTING/STRATEGIC PARTNER/NON-MEMBER OF LLC/PROVIDING COMPREHENSIVE FINANCIAL PLANNING, CFP, START DATE: 11/01/13, APPROXIMATE NUMBER OF HOURS/MONTH: 10-25, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: COMPREHENSIVE FINANCIAL PLANNING/ALL PRODUCTS , ETC. WILL CONTINUE TO GO THROUGH THE HTK PLATFORM. 3)INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: COMPREHENSIVE PLANNING CONCEPTS |POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 4000 ROUTE 66 STE 20, TINTON FALLS, NJ 07753 | START DATE:8/1/2020 | NATURE OF ACTIVITY: INSURANCE SALES/SERVICE FOR MULTIPLE CARRIERS, INCLUDING PML | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE & INVESTMENT SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Richard F Micliz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard F Micliz'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®
CFP®
Start date: 2010
Experience
Current
May 29, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 4000 Route 66 Ste 20, Tinton Falls, NJ 07753RIA
BD
CRD#: 4031
Tinton Falls, NJ
Current
March 12, 2012 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 4000 Route 66 Ste 20, Tinton Falls, NJ 07753RIA
BD
CRD#: 4031
Tinton Falls, NJ
Past
December 10, 2009 - March 20, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WALL TOWNSHIP, NJ
Past
June 7, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
TINTON FALLS, NJ
Past
June 7, 2002 - March 20, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WALL TOWNSHIP, NJ
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(7/13/2020)
RR
Florida(7/12/2012)
RR
Georgia(6/15/2020)
RR
Indiana(10/14/2025)
RR
Maryland(4/8/2020)
RR
New Jersey(3/12/2012)
IAR
New Jersey(5/29/2012)
RR
New York(4/17/2012)
RR
North Carolina(11/22/2022)
RR
Pennsylvania(7/3/2018)
RR
Rhode Island(10/1/2019)
RR
Virginia(10/11/2022)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Tinton Falls, NJ 07753TRUST BUT VERIFY
Monitor Richard Micliz
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
