SG
Stephen H. Grochol
HORNOR, TOWNSEND & KENT
San Francisco, CA 94111
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CRD#: 4845232
SG
Professional summary
Stephen Henry Grochol is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in San Francisco, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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 | INVESTMENT RELATED: YES | DBA NAME: PRIVATE LABEL WEALTH MANAGEMENT | POSITION HELD: AGENT | ADDRESS: 2 EMBARCADERO CENTER 8TH FLOOR, SAN FRANCISCO, CA 94111 | START DATE: 11/01/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 80 | APPROX TRADING HRS PER MTH: 40 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 2) PL WEALTH | POSITION: Employee NATURE: Wealth Management and Financial Planning | INVESTMENT RELATED: Yes | NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 11/01/2024 | ADDRESS: 2 Embarcadero Center, San Francisco CA 94111 | DESCRIPTION: Financial Advisor and Planner. Assisting clients with their retirement needs as well as cash flow, insurance, and overall planning.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Henry Grochol's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Henry Grochol'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®
NoneExperience
Current
November 4, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2 Embarcadero Center 9th Flr, San Francisco, CA 94111RIA
BD
CRD#: 4031
San Francisco, CA
Current
November 1, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2 Embarcadero Center 9th Flr, San Francisco, CA 94111RIA
BD
CRD#: 4031
San Francisco, CA
Past
August 20, 2020 - November 7, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN MATEO, CA
Past
August 20, 2020 - November 7, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN MATEO, CA
Past
September 8, 2016 - September 4, 2020
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
SAN MATEO, CA
Past
September 8, 2016 - September 4, 2020
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
SAN MATEO, CA
Past
October 9, 2015 - September 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN MATEO, CA
Past
March 3, 2015 - September 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN MATEO, CA
Past
October 14, 2009 - January 16, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN FRANCISCO, CA
Past
August 19, 2008 - October 16, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN MATEO, CA
Past
November 10, 2004 - June 20, 2008
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SAN MATEO, CA
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(11/4/2024)
IAR
California(11/4/2024)
RR
Colorado(11/4/2024)
RR
Illinois(1/16/2025)
RR
Washington(11/7/2024)
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#: 4031San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
