Trevor M. Williams

PENN MUTUAL ASSET MANAGEMENT

Horsham, PA 19044

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CRD#: 4614810

Professional summary

Trevor M Williams, who also goes by Trevor Mitchell Williams, is a registered financial advisor currently at PENN MUTUAL ASSET MANAGEMENT, LLC located in Horsham, Pennsylvania.

Trevor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Trevor has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Trevor Mitchell Williams

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.

Penn Mutual Asset Management, Investment Related, Horsham, PA, Managing Director, Portfolio Manager, Began 09/2014, Full Time Employer, 95% of Hours Are During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trevor M Williams'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®

None

Experience

Current

December 7, 2017 - Present

PENN MUTUAL ASSET MANAGEMENT, LLC

Office #1: 600 Dresher Road Suite 100, Horsham, PA 19044

RIA

CRD#: 107518

Horsham, PA

Past

June 9, 2021 - November 3, 2021

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HORSHAM, PA

Past

September 26, 2017 - April 20, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Horsham, PA

Past

November 3, 2014 - September 22, 2017

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CONSHOHOCKEN, PA

Past

September 19, 2014 - September 22, 2017

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

June 28, 2010 - September 10, 2014

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

May 14, 2010 - September 10, 2014

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

May 15, 2006 - October 17, 2006

CAROLINA CAPITAL MARKETS, INC.

CRD#: 38156

CHAPEL HILL, NC

Past

February 24, 2004 - June 30, 2004

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

CRD#: 40644

JENKINTOWN, PA

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".

PENN MUTUAL ASSET MANAGEMENT, LLC

INDEPENDENCE CAPITAL MANAGEMENT INC. | PENN MUTUAL ASSET MANAGEMENT, LLC | PENN MUTUAL ASSET MANAGEMENT, INC.

CRD#: 107518 / SEC#: 801-35477

RIA

Registered Investment Advisory firm - (2/2/1990 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(12/7/2017)

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

IAR

Series 66

Date: 6/25/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/30/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/20/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/13/2010

General Securities Representative Examination

Current Firm

PENN MUTUAL ASSET MANAGEMENT, LLC

INDEPENDENCE CAPITAL MANAGEMENT INC. | PENN MUTUAL ASSET MANAGEMENT, LLC | PENN MUTUAL ASSET MANAGEMENT, INC.

CRD#: 107518 / SEC#: 801-35477

RIA

Registered Investment Advisory firm - (2/2/1990 Approved)

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Contact information

Main Address

Eight Tower Bridge 161 Washington Street, Suite 1111, Conshohocken, PA 19428

Mailing Address

Phone number

(215) 956-8114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENN MUTUAL ASSET MANAGEMENT PART 2A OF FORM ADV WRAP FEE PROGRAM BROCHURE (3/28/2025)

PENN MUTUAL ASSET MANAGEMENT BROCHURE PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 39,106,375,391

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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Advisor Monitoring

Firm Stability Insights

Trevor M. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trevor M Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

FORESIDE FUND SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

CAROLINA CAPITAL MARKETS, INC.

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

Primary Firm SEC Registration

PENN MUTUAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2010

Series 63

Date: 3/30/2004

SIE

Date: 10/1/2018

Series 31

Date: 5/20/2010

Series 7

Date: 5/13/2010

Current Firm

PENN MUTUAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENN MUTUAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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