TM
Thomas M. Minger
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
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CRD#: 5027834
TM
Professional summary
Thomas M Minger JR, who also goes by Thomas M Minger, Thomas Minger, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M Minger | Thomas Minger
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas M Minger JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas M Minger JR'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
October 4, 2019 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
September 5, 2019 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
July 18, 2018 - August 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLYMOUTH MEETING, PA
Past
July 18, 2018 - August 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLYMOUTH MEETING, PA
Past
June 1, 2015 - March 5, 2018
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
ANDOVER, MA
Past
May 29, 2015 - March 5, 2018
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
January 5, 2010 - May 12, 2015
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
RIA
CRD#: 152237
PHILADELPHIA, PA
Past
January 5, 2010 - May 12, 2015
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
October 27, 2009 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
PHILADELPHIA, PA
Past
October 27, 2009 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
PHILADELPHIA, PA
Past
November 6, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
RADNOR, PA
Past
May 8, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
September 22, 2005 - July 11, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, 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".
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(6/25/2020)
RR
Colorado(6/25/2020)
RR
Connecticut(6/25/2020)
RR
Delaware(1/9/2020)
RR
District of Columbia(11/17/2021)
RR
Florida(9/5/2019)
IAR
Florida(1/10/2020)
RR
Illinois(6/25/2020)
RR
Maryland(6/25/2020)
RR
Massachusetts(6/25/2020)
RR
New Hampshire(6/25/2020)
RR
New Jersey(1/9/2020)
RR
New York(6/25/2020)
RR
Pennsylvania(9/5/2019)
IAR
Pennsylvania(10/4/2019)
RR
Rhode Island(10/31/2022)
RR
Virginia(6/25/2020)
RR
Wisconsin(6/25/2020)
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.
