DH
David E. Hartley
HORNOR, TOWNSEND & KENT
Littleton, CO 80120
Some features on this profile are disabled
CRD#: 5093749
DH
Professional summary
David Earl Hartley is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Littleton, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 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: N/A | POSITION HELD: AGENT | ADDRESS: 2679 W MAIN ST, SUITE 252, LITTLETON, CO 80120 | START DATE: 09/16/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 100+ | APPROX TRADING HRS PER MTH: 100+ | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL. 2) WEALTH WELLNESS LLC POSITION: Proprietor/Owner NATURE: FINANCIAL PLANNINGFINANCIAL REP INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 40 START DATE: 03/18/2024 ADDRESS: 5052 S Vision Quest Ct, Gold Canyon AZ 85118, United States DESCRIPTION: FINANCIAL PLANNING 3) WEALTH 4 WELLNESS EMAIL POSITION: Proprietor/Owner NATURE: Perform normal financial advisory business activities INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 12/11/2024 ADDRESS: 5052 S VISION QUEST COURT, Gold Canyon AZ 85118 DESCRIPTION: TO HELP PEOPLE PLAN FOR THEIR RETIREMENT
CRS (Client Relationship Summary) - RIA
Click below to view David Earl Hartley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Earl Hartley'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 5, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2679 W Main St Suite 252, Littleton, CO 80120RIA
BD
CRD#: 4031
Littleton, CO
Current
September 21, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 2679 W Main St Suite 252, Littleton, CO 80120RIA
BD
CRD#: 4031
Littleton, CO
Past
September 15, 2009 - October 9, 2023
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LAKEWOOD, CO
Past
July 21, 2009 - October 9, 2023
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LAKEWOOD, CO
Past
June 27, 2006 - July 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
TROY, MI
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
Arizona(10/4/2023)
RR
California(6/23/2025)
RR
Colorado(10/5/2023)
IAR
Colorado(10/5/2023)
RR
Florida(8/12/2024)
RR
Michigan(2/6/2024)
RR
Minnesota(10/16/2023)
RR
Missouri(9/22/2023)
RR
Washington(7/16/2024)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
