KR
Karen Rossi
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
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CRD#: 5116866
KR
Professional summary
Karen Rossi is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Karen has worked at 4 firms and has passed the Series 65, Series 63, SIE 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) LIFE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT |ADDRESS: 161 WASHINGTON STREET FLOOR 11, SUITE 1111, CONSHOHOCKEN, PA 19428| START DATE: 4/19/2018 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: OVER 140 HRS | APPROX TRADING HRS PER MTH: OVER 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. 2) PROPERTY/CASUALTY INSURANCE BROKERAGE | INVESTMENT RELATED: NO | DBA NAME: QUAIL HILL | POSITION HELD:OTHER - REFERRER | ADDRESS: 29 S NEW YORK RD, STE 1100, GALLOWAY, NJ 08205 | START DATE: 9/1/2017 | NATURE OF ACTIVITY: PROPERTY/CASUALTY INSURANCE | APPROX HRS PER MTH: 10-25 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: REFER REAL ESTATE CLIENTS THAT HAVE P&C NEEDS (LICENSED P&C PRODUCER). 3) BOARD OF ELECTIONS - SUBSTITUTE | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: EMPLOYEE | ADDRESS: 50 RANCOCAS ROAD 1ST FLOOR MOUNT HOLLY, NJ 08060 POLLING STATONS IN THE BURLINGTON AREA | START DATE: 6/5/2018 | NATURE OF ACTIVITY: CIVIC DUTIES | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: SUBSTITUTE BOARD OF ELECTIONS WORKER. REPLACE SCHEDULED WORKERS IF THEY ARE UNABLE TO PERFORM ON AN ELECTION DAY. THERE ARE ONLY 2 ELECTIONS, OR DAYS IN ANY YEAR FILL-IN AS A REPLACEMENT IN JUNE AND OR IN NOVEMBER. 4) P & C INSURANCE BROKERAGE POSITION: Agent NATURE: Prop/Casualty Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2014 ADDRESS: 16 Campus Blvd,, Suite 175A, Newtown Square PA 19073, United States DESCRIPTION: I just request a quote when an existing customer has the need for a review of existing Auto, homeowners and/or flood insurance policies 5)HOA BOARD MEMBER | POSITION: OFFICER | NATURE: I WAS ELECTED TO THE BOARD OF MY NEW HOA LAST NIGHT, MONDAY, 3/18/2024 | INVESTMENT RELATED: NO | NUMBER OF HOURS: 6 | SECURITIES TRADING HOURS: 1 | START DATE: 03/18/2024 | ADDRESS: 229 CONGRESSIONAL CT, MOORESTOWN NJ 08057 | DESCRIPTION: THIS HOA IS NEW TO THE COMMUNITY AND JUST BEING TRANSFERRED FROM THE BUILDER TO THE OWNERS. AS SUCH WE ARE SETTING UP COMMITTEES, SUCH AS SOCIAL, ARCHITECTURAL, ETC. WE HAVE NOT YET ASSIGNED SPECIFIC ROLES, AND THE MANAGEMENT FIRM, ASSOCIA, HANDLES ALL OF THE MONETARY MATTERS FOR THE COMMUNITY, AS THE BOARD MEMBERS ARE STRICTLY VOLUNTEERS. AS BOARD MEMBERS WE WILL ENSURE THAT COMPETITIVE BIDS ARE RETAINED BY THE MANAGEMENT FIRM AND WE'LL MAKE THE DECISIONS AS TO WHAT COMPANIES ARE SELECTED TO COMPLETE THE WORK IN OUR COMMUNITY.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Rossi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Rossi'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
May 15, 2018 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
April 20, 2018 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
March 25, 2017 - March 14, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MARLTON, NJ
Past
March 25, 2017 - March 14, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MARLTON, NJ
Past
June 29, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MARLTON, NJ
Past
May 9, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MARLTON, NJ
Past
May 9, 2006 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MARLTON, 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
Arizona(4/24/2018)
RR
Delaware(4/26/2018)
RR
Florida(4/23/2018)
RR
Nevada(7/23/2024)
RR
New Jersey(4/23/2018)
IAR
New Jersey(5/15/2018)
RR
New Mexico(10/15/2021)
RR
New York(8/9/2023)
RR
Ohio(12/11/2020)
RR
Oklahoma(8/9/2024)
RR
Pennsylvania(11/21/2018)
RR
South Carolina(1/18/2022)
Exams
State Security Law Exam
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)
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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.
