CG
Christopher J. Gaddis
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CRD#: 4831351
CG
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.
Christopher John Gaddis, who also goes by Chris J Gaddis, Christopher John Gaddis, Christopher Gaddis, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris J Gaddis | Christopher John Gaddis | Christopher Gaddis
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) BARIS GROUP|INVEST RELATED: NO|DBA:|POSITION: PROPRIETOR/OWNER|ADDRESS: 2100 NC HIGHWAY 49 MOUNT PLEASANT NC 28124|START DATE: 2/21/23|NATURE OF ACT: SERVICE INDUSTRY|APPROX HRS/MTH: 10-25|APPROX TRADING HRS/MTH: 10-25|DESCRIP: PROVINDING MARKETING CONSULTING COACHING 2) TIDEWATER FINANCIAL GROUP|INVEST RELATED: NO|DBA:|POSITION: SENIOR PARTNER|ADDRESS: 57 UNION ST. S SUITE 1247, CONCORD, NC 28025|START DATE: 2/21/23|NATURE OF ACT: DISABILITY/HEALTH INS|APPROX HRS/MTH: LESS THAN 10|APPROX TRADING HRS/MTH: LESS THAN 10|DESCRIP: GROUP BENEFITS INCLUDING HEALTH,DENTAL,VISON AND VOLUNTARY BENEFITS 3) GADDIS BROTHERS PROPERTY HOLDINGS LLC|INVEST RELATED: NO|DBA:|POSITION: PARTNER|ADDRESS: MOUNT PLEASANT, NC 28124|START DATE: 2/21/23|NATURE OF ACT: REAL ESTATE SALES|APPROX HRS/MTH: LESS THAN 10|APPROX TRADING HRS/MTH: LESS THAN 10|DESCRIP: REAL ESTATE INVEST 4) INS BROKERAGE|INVEST RELATED: YES|DBA: GP AGENCY|POSITION: PARTNER|ADDRESS: 7000 SIX FORKS RD SUITE 103, RALEIGH, NC 27615|START DATE: 2/21/23|NATURE OF ACT: MULTI-LINE INS|APPROX HRS/MTH: 41-100 HRS|APPROX TRADING HRS/MTH: 41-100 HRS|DESCRIP: MANAGING PARTNER:INS SALES AND SERVICE INCLUDING LIFE, DISABLITY AND HEALTH 5) AGENCY PARTNERS GROUP|INVEST RELATED: NO|DBA:|POSITION: GEN PARTNER|ADDRESS: 12100 NC HWY 49 MOUNT PLEASANT NC 28124|START DATE: 2/21/23|NATURE OF ACT: SERVICE INDUSTRY|APPROX HRS/MTH: LESS THAN 10|APPROX TRADING HRS/MTH: LESS THAN 10|DESCRIP: MARKETING SERVICES SOFTWARE 6) BARIS BENEFITS|INVEST RELATED: NO|DBA:|POSITION: PROPRIETOR/OWNER|ADDRESS: 12100 NC HWY 49 MOUNT PLEASANT NC 28124|START DATE: 2/21/23|NATURE OF ACT: INS BROKERAGE|APPROX HRS/MTH: LESS THAN 10|APPROX TRADING HRS/MTH: LESS THAN 10|DESCRIP: GROUP BENEFIT (IN THE PROCESS OF MOVING THE BUSINESS 7) MANAGING PARTNER, FINANCIAL ADVISOR POSITION: Agent NATURE: Life Ins brokerage INVEST RELATED: Yes NUMBER OF HOURS: 180 SEC TRADING HOURS: 180 START DATE: 05/12/23 ADDRESS: 57 UNION ST S, SUITE 1247, Concord NC 28025, DESCRIP: New DBA in partnership with Empire Wealth Strategies, Penn Mutual and HTK. I will be a Managing Partner with the DBA, a sales specialist with recruiting and advisor coaching duties with Advisor Partner Group and through EWS, as well as a financial advisor with duties to acquire, provide financial consultation and advice, sell and service ins and investments. 8) CAPSTONE HEALTH POSITION: Officer NATURE: Disability/Health Ins INVEST RELATED: No NUMBER OF HRS: 5 SECURITIES TRADING HRS: 5 START DATE: 10/05/23 ADDRESS: 1028 Lee Ann Dr NE Suite 305, Suite 305, Concord NC 28025, DESCRIP: This company is a holding company for a health and wellness program we started on the group benefits side. It has no aff to securities. We are wholesaling the product to licensed life and health agents. It is considered a 105 plan in the wellness category. 9) THE UNDENIABLE ADVISOR POSITION: Proprietor/Owner NATURE: It is a training platform for my other OBA, GP Agency. We train on 4 main topics of showing agents how to operate a business, sales ideas, and marketing ideas. We bring fixed carriers on to talk about product and sales ideas. INVEST RELATED: No NUMBER OF HRS: 4 SECURITIES TRADING HRS: 4 START DATE: 11/28/23 ADDRESS: 12100 NC HWY 49, Mount Pleasant NC 28124, DESCRIP: I will be doing a weekly training session about 30-45 minutes on topics as well as interviewing individuals from the industry and carriers. We plan to do a podcast with these training hours as well as a youtube channel. 10)VINEYARD FINANCIAL PARTNERS POSITION: Agent NATURE: VFP is under me as I brought them in. This is a DBA I do work with Under HTK. They want to use me on their website and I was told it needs to be an OBA. INVESTMENT RELATED: Yes NUMBER OF HRS: 5 SECURITIES TRADING HRS: 5 START DATE: 11/29/23 ADDRESS: 14702 Statesville Rd, Huntersville NC 28078 DESCRIP: They are under me as their sales director. I help them with clients and sales from time to time. They want to put me on their website and other marketing.
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®
NoneExperience
Past
March 24, 2023 - August 1, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
Concord, NC
Past
February 21, 2023 - August 1, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
Concord, NC
Past
February 16, 2022 - February 21, 2023
MODERN CAPITAL ADVISORS, LLC
RIA
CRD#: 131117
Raleigh, NC
Past
February 1, 2021 - December 31, 2021
MODERN CAPITAL ADVISORS, LLC
RIA
CRD#: 131117
Mount Pleasant, NC
Past
October 16, 2020 - February 21, 2023
MODERN CAPITAL SECURITIES INC.
BD
CRD#: 130876
RALEIGH, NC
Past
November 3, 2017 - June 8, 2020
HORACE MANN INVESTORS, INC.
RIA
CRD#: 11643
Rock Hill, SC
Past
October 13, 2017 - June 8, 2020
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
Rock Hill, SC
Past
March 25, 2017 - September 19, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Rock Hill, SC
Past
March 25, 2017 - September 19, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Rock Hill, SC
Past
February 1, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CHARLOTTE, NC
Past
January 11, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHARLOTTE, NC
Past
February 15, 2013 - January 15, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
FORT MILL, SC
Past
August 2, 2012 - January 15, 2016
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
FORT MILL, SC
Past
July 20, 2012 - July 30, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
ROCK HILL, SC
Past
December 21, 2011 - July 5, 2012
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
STAMFORD, NY
Past
August 16, 2010 - December 21, 2011
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WALTON, NY
Past
September 21, 2006 - January 26, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
STAMFORD, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
