JC
John T. Conte
HORNOR, TOWNSEND & KENT
Concord, MA 01742
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CRD#: 4580403
JC
Professional summary
John Thomas Conte, CFP®, who also goes by John T Conte, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Concord, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John T Conte
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 | INVESTMENT RELATED: YES | DBA NAME: EMPIRE WEALTH STRATEGIES | POSITION HELD:AGENT | ADDRESS: 300 BAKER AVENUE, SUITE 300 CONCORD, MA 01742 | START DATE: 3/3/2020 | NATURE OF ACTIVITY:LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS |DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY INCLUDING LIFE SETTLEMENTS EFFECTIVE 04/27/2020
2) LANDLORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 39 GLENBROOK ROAD, APT 4X STAMFORD, CT 06902 | START DATE: 9/1/2004 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: COLLECT RENT AND PAY MORTGAGE/MAINTENANCE FEES.
3) INSURANCE & INVESTMENT | INVESTMENT RELATED: YES | DBA NAME: OLIVER CAPITAL MANAGEMENT | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 300 BAKER AVENUE, SUITE 300 CONCORD, MA 01742 | START DATE: 3/3/2020 |NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: ASSISTING CLIENTS WITH FINANCIAL PLANNING. PRODUCT OFFERINGS INCLUDE:INSURANCE (LIFE, DISABILITY, AND LONG TERM CARE), ANNUITIES, ASSET MANAGEMENT, FEE BASED PLANNING. IN ADDITION :INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas Conte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Thomas Conte'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: 2012
Experience
Current
August 22, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 300 Baker Avenue Suite 300, Concord, MA 01742RIA
BD
CRD#: 4031
Concord, MA
Current
August 2, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 300 Baker Avenue Suite 300, Concord, MA 01742RIA
BD
CRD#: 4031
Concord, MA
Past
April 12, 2012 - May 20, 2013
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
NEW YORK, NY
Past
February 1, 2011 - May 20, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
November 8, 2002 - December 22, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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
California(1/30/2020)
RR
Connecticut(3/3/2015)
RR
Delaware(2/17/2023)
RR
Florida(1/22/2018)
RR
Georgia(9/15/2017)
RR
Idaho(3/14/2017)
RR
Kansas(1/13/2021)
RR
Kentucky(1/23/2025)
RR
Maine(6/27/2018)
RR
Maryland(3/18/2020)
RR
Massachusetts(2/1/2018)
IAR
Massachusetts(1/8/2020)
RR
New Hampshire(8/3/2018)
RR
New Jersey(2/29/2016)
RR
New York(8/2/2013)
RR
Ohio(5/20/2024)
RR
Pennsylvania(4/12/2023)
RR
Rhode Island(1/27/2020)
RR
South Carolina(3/29/2022)
RR
Texas(8/21/2019)
RR
Virginia(3/21/2019)
RR
Wisconsin(3/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 4031Concord, MA 01742TRUST BUT VERIFY
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