Michael L. Scott
HORNOR, TOWNSEND & KENT
Oshkosh, WI 54902
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CRD#: 4551152
Professional summary
Michael L Scott, CFP®, ChFC®, CLU®, who also goes by Michael L'amoureaux Scott, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Oshkosh, Wisconsin.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael L'amoureaux Scott
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)INDEPENDENCE FINANCIAL, LLC., INVESTMENT-RELATED-NO, BRIDGEVIEW CENTRE, 1488 W SOUTH PARK AVE., OSHKOSH, WI 54902, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, REGISTERED REPRESENTATIVE, START DATE: 01/2010, APPROX. NUMBER OF HOURS/MONTH: MORE THAN 40, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: MORE THAN 40, DUTIES: LIFE, DISABILITY AND ANNUITY INSURANCE SALES. 2)FIXED ANNUITY SALES, NO DBA, NOT INVESTMENT-RELATED, 1488 W SOUTH PARK AVE., OSHKOSH, WI 54902, SECONDARY MARKET FIXED ANNUITIES, AGENT, START DATE: 08/16/2010, APPROX. NUMBER OF HOURS/MONTH: LESS THAN 10, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: LESS THAN 10, DUTIES: OFFER SECONDARY MARKET FIXED ANNUITIES TO HIGH NET WORTH CLIENTS. 3) CAP / CLIENT ADVOCACY PARTNERS | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PARTNER-ALL 8 PARTNERS MEET TO EXCHANGE IDEAS THAT CAN BE OF HELP TO OUR | ADDRESS: 1488 W SOUTH PARK AVE. OSHKOSH, WI 54902 | START DATE: 2016-10-12 | NATURE OF ACTIVITY: OTHER-NETWORKING GROUP USED TO SHARE IDEAS | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 HOURS | DESCRIPTION OF DUTIES: ALL 8 PARTNERS MEET TO EXCHANGE IDEAS THAT CAN BE OF HELP TO OUR CLIENTS. THESE MEETINGS CONSIST OF SEMI-ANNUAL TWO AND HALF DAY MEETINGS AS WELL AS SEMI-ANNUAL SCHEDULED CONFERENCE CALLS. WE ALSO EXCHANGE IDEAS ON A CURRENT CASES VIA PHONE OR EMAIL ON A REGULAR BASIS. 4) DUNDER MIFFLIN HOLDINGS, LLC & DUNDER MIFFLIN AZ | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER/LLC MEMBER | ADDRESS: 1488 W SOUTH PARK AVE.OSHKOSH | START DATE: 6/30/2017 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: PAY BILLS ADDING ADDITIONAL PROPERTY 6) SOUTH PARK OAKS CONDO ASSOCIATION | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: OFFICER/TREASURER | ADDRESS: 1488 W. SOUTH PARK AVE. OSHKOSH, WI 54902 | START DATE: 6/30/2017 | NATURE OF ACTIVITY: OTHER - | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: HIRE SERVICE PROVIDERS TO TEND TO THE COMMON AREAS OF THE PROPERTY TO ASSURE THEY ARE MAINTAINED. COLLECT QUARTERLY CONDO DUES FROM THE TWO CONDO OWNERS (OF WHICH I AM ONE). PAY THE BILLS. 7) NATIONAL ADVISORY COUNCIL PENN MUTUTAL & HTK LLC | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: BOARD MEMBER | ADDRESS: 600 DRESHER ROAD HORSHAM PA 19044 | START DATE: 7/1/2004 | NATURE OF ACTIVITY: FINANCIAL PROFESSIONAL ADVISORY COMMITTEE | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: PARTICIPATE IN MONTHLY COMMITTEE MEETINGS AND BOARD MEETINGS
CRS (Client Relationship Summary) - RIA
Click below to view Michael L Scott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael L Scott'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: 2004
Experience
Current
April 8, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1488 W South Park Ave, Oshkosh, WI 54902RIA
BD
CRD#: 4031
Oshkosh, WI
Current
July 3, 2002 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1488 W South Park Ave, Oshkosh, WI 54902RIA
BD
CRD#: 4031
Oshkosh, WI
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
Alabama(12/26/2023)
RR
Arizona(3/24/2006)
RR
Arkansas(4/18/2022)
RR
California(2/11/2005)
RR
Colorado(7/3/2002)
RR
Delaware(6/17/2022)
RR
Florida(7/5/2005)
IAR
Florida(11/12/2021)
RR
Georgia(4/24/2018)
RR
Hawaii(6/17/2022)
RR
Idaho(5/1/2023)
RR
Illinois(1/2/2008)
RR
Indiana(10/23/2007)
RR
Kansas(4/5/2019)
RR
Maryland(2/28/2022)
RR
Massachusetts(3/23/2009)
RR
Michigan(12/11/2008)
RR
Minnesota(5/30/2017)
RR
Missouri(12/26/2023)
RR
Montana(4/17/2024)
RR
Nebraska(7/31/2018)
RR
Nevada(1/5/2024)
RR
New Hampshire(1/5/2024)
RR
New Jersey(2/10/2006)
RR
New Mexico(7/17/2024)
RR
New York(8/24/2020)
RR
North Carolina(10/2/2006)
RR
Ohio(1/31/2022)
RR
Oregon(2/7/2022)
RR
Pennsylvania(1/9/2008)
RR
South Carolina(9/26/2024)
RR
Tennessee(11/19/2014)
RR
Texas(9/3/2025)
RR
Utah(5/5/2009)
RR
Virginia(3/8/2022)
RR
Washington(9/28/2010)
RR
Wisconsin(11/1/2002)
IAR
Wisconsin(4/8/2003)
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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Oshkosh, WI 54902TRUST BUT VERIFY
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