DC
Diego A. Correa
HORNOR, TOWNSEND & KENT
EDISON, NJ 08837
Some features on this profile are disabled
CRD#: 4884552
DC
Professional summary
Diego Armando Correa, who also goes by Diego Arrando Correa, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Edison, New Jersey.
Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Diego has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diego Arrando Correa
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: DAC FINANCIAL | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 110 FIELDCREST AVE, SUITE 21, EDISON, NJ 08837 | START DATE: 7/15/2009 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: SALES & SERVICE OF FIXED LIFE, HEALTH/DI/LTC AND P&C ACCOUNTS FOR MULTIPLE CARRIERS. 2) LANDLORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: BIRCH ST, BLOOMFIELD, NJ, 07003 | START DATE: 10/31/2016 | 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 RENTS. 3) FINANCIAL ADVISOR | POSITION: AGENT | NATURE: LIFE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | NUMBER OF HOURS: 10 | SECURITIES TRADING HOURS: 10 | START DATE: 02/01/2024 | ADDRESS: 110 FIELDCREST AVE, SUITE 21, EDISON, NJ 08837 | DESCRIPTION: PROVIDE CLIENTS WITH ADVISE ON INSURANCE AND FINANCIAL PRODUCTS USING THE HTK CHANNEL. 4) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT- | ADDRESS: 110 FIELDCREST AVE, SUITE 21, EDISON, NJ 08837 | START DATE: 01/01/2024 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE- | APPROX HRS PER MTH: OVER 140 HOURS | APPROX TRADING HRS PER MTH: OVER 140 HOURS | DESCRIPTION OF DUTIES: SALES & SERVICE OF LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. SALES & SERVICE OF LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. 5)INSURANCE BROKERAGE | DBA: ATTORNEY RESOURCE GROUP. POWERED BY STRATEGIC WEALTH SOLUTIONS | POSITION: AGENT | NATURE: LIFE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | NUMBER OF HOURS: 20 | SECURITIES TRADING HOURS: 20 | START DATE: 10/21/2024 | ADDRESS: 100 FIELDCREST AVE, SUITE 20, EDISON NJ 08837 | DESCRIPTION: FINANCIAL PLANNING FOCUSING ON ADVISING ATTORNEYS IN THEIR FINANCES.
CRS (Client Relationship Summary) - RIA
Click below to view Diego Armando Correa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diego Armando Correa'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
April 17, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 110 Fieldcrest Ave Suite 20, Edison, NJ 08837RIA
BD
CRD#: 4031
EDISON, NJ
Current
January 12, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 110 Fieldcrest Ave Suite 20, Edison, NJ 08837RIA
BD
CRD#: 4031
EDISON, NJ
Past
March 23, 2015 - December 31, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Secaucus, NJ
Past
May 3, 2013 - December 31, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Secaucus, NJ
Past
May 2, 2011 - July 30, 2012
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
SCOTCH PLAINS, NJ
Past
October 27, 2005 - August 3, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SADDLE BROOK, NJ
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
Florida(1/16/2025)
IAR
Florida(1/16/2025)
RR
New Jersey(1/12/2017)
IAR
New Jersey(4/17/2017)
RR
New York(1/12/2017)
RR
Pennsylvania(6/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
