AS
Aaron B. Safier
HORNOR, TOWNSEND & KENT
Hackensack, NJ 07601
Some features on this profile are disabled
CRD#: 4989981
AS
Professional summary
Aaron Benjamin Safier, who also goes by Aaron Safier, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Hackensack, New Jersey.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Aaron has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Safier
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: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 7/27/2018 | NATURE OF ACTIVITY: MULTILINE INSURANCE | APPROX HRS PER MTH: 101-140 HRS | APPROX TRADING HRS PER MTH: 101-140 HRS | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. ADVISORS PROVIDE CLIENTS FINANCIAL PLANNING SERVICES AND OTHER INVESTMENT ADVISORY SERVICES AND INVESTMENT PRODUCTS THROUGH HORNOR, TOWNSEND & KENT, INC., A REGISTERED INVESTMENT ADVISOR AND FINRA MEMBER FIRM. 2) INSURANCE BROKERAGE & INVESTMENT ADVISORY | INVESTMENT RELATED: YES | DBA NAME: SAPPHIRE WEALTH ADVISORY GROUP | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007|START DATE: 7/1/2017 | NATURE OF ACTIVITY: INVESTMENT ADVISORY SERVICES | APPROX HRS PER MTH: | APPROX TRADING HRS PER MTH: | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. ADVISORS PROVIDE CLIENTS FINANCIAL PLANNING SERVICES AND OTHER INVESTMENT ADVISORY SERVICES AND INVESTMENT PRODUCTS THROUGH HORNOR, TOWNSEND & KENT, INC., A REGISTERED INVESTMENT ADVISOR AND FINRA MEMBER FIRM. 3) SAPPHIRE ENTERPRISE CORP | INVESTMENT RELATED: NO | DBA NAME: SAPPHIRE ENTERPRISE CORP | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 184 JOHNSON AVE, TEANECK, NJ 07666 | START DATE: 7/1/2017 | NATURE OF ACTIVITY: OTHER - INVENTOR | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: INVENTOR/CREATOR OF A MECHANICAL DEVICE AND PURSUING A PATENT.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Benjamin Safier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Benjamin Safier'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 21, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 411 Hackensack Ave 2nd Floor, Hackensack, NJ 07601Office #2: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
Hackensack, NJ
Current
October 26, 2018 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 411 Hackensack Ave 2nd Floor, Hackensack, NJ 07601Office #2: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
Hackensack, NJ
Past
March 25, 2017 - November 6, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ELMSFORD, NY
Past
November 30, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ELMSFORD, NY
Past
April 18, 2011 - October 14, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - October 14, 2011
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
December 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 10, 2006 - December 14, 2007
M&T SECURITIES, INC.
BD
CRD#: 17358
ELMSFORD, NY
Past
November 25, 2005 - March 10, 2006
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, 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(5/13/2020)
RR
Connecticut(10/31/2018)
RR
Florida(11/3/2020)
RR
Hawaii(10/31/2018)
RR
Illinois(4/28/2022)
RR
Maryland(12/13/2021)
RR
Massachusetts(10/31/2018)
RR
Missouri(10/31/2018)
RR
New Hampshire(5/14/2020)
RR
New Jersey(10/26/2018)
RR
New York(10/31/2018)
IAR
New York(3/19/2021)
RR
North Carolina(11/1/2018)
RR
Pennsylvania(6/4/2020)
RR
South Carolina(10/22/2021)
RR
Tennessee(10/15/2020)
RR
Texas(2/5/2020)
IAR
Texas(4/29/2025)
RR
Virginia(4/6/2022)
RR
Wisconsin(5/26/2021)
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.
