MC
Michael A. Clayton
HORNOR, TOWNSEND & KENT
Akron, OH
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CRD#: 5281026
MC
Professional summary
Michael Andrew Clayton, who also goes by Michael A Clayton, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Akron, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael A Clayton
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: CLAYTON & ASSOCIATES | Position Held: Agent | Address: 90 WALLHAVEN DR AKRON, OH 44313, United States | Start Date: 12/2006 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: Over 140 Hrs | Approx Trading Hrs Per Mth: Over 140 Hrs | Description of Duties: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) INSURANCE BROKERAGE | Investment Related: Yes | DBA Name: SIMPLIFIED PENSION SOLUTIONS | Position Held: Partner | Address: 90 WALLHAVEN DR STE 100, AKRON OH 44313 | Start Date: 09/15/2014 | Nature of Activity: Other | Approx Hrs Per Mth: 10-25 Hrs | Approx Trading Hrs Per Mth: 10-25 Hrs | Description of Duties: HELPING EDUCATE INDIVIDUALS ABOUT RETIREMENT OPTIONS. SALES AND SERVICE OF INSURANCE PRODUCTS FOR MULTIPLE CARRIERS INCLUDING THE PENN MUTUAL LIFE INSURANCE COMPANY. 3) CLAY/BRO LLC /SUMMIT RELEAF/MEDICAL OFFICE SPECIALIZING IN ALTERNATIVES TO OPIOID PAIN MANAGEMENT. |INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PRESIDENT CLAYBRO LLC | ADDRESS: 1129 RIVER WOODS DR., HINCKLEY OH 44233 | START DATE: 1/1/2019 | NATURE OF ACTIVITY: SERVICE INDUSTRY | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 10-25 HRS | DESCRIPTION OF DUTIES: MY DUTIES WILL BE TO COORDINATE DOCTOR SCHEDULES, TROUBLESHOOT ANY NON DAY TO DAY PROBLEMS THAT MAY ARISE AND HELP RETRIEVE PATIENT DATA WHERE STAFF HAS OVERFLOW.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Andrew Clayton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Clayton'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
December 2, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Akron, OH
Current
June 20, 2014 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Akron, OH
Past
August 2, 2013 - April 25, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CANTON, OH
Past
January 15, 2013 - May 10, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CANTON, OH
Past
January 31, 2007 - September 6, 2012
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
AKRON, OH
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(2/7/2020)
RR
Indiana(8/17/2017)
RR
Kentucky(3/4/2022)
RR
Michigan(1/10/2019)
RR
Ohio(6/23/2014)
IAR
Ohio(12/2/2016)
RR
Pennsylvania(6/21/2016)
RR
South Carolina(3/9/2022)
Exams
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.
