CD
Cliff S. Duester
HORNOR, TOWNSEND & KENT
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 5634190
CD
Professional summary
Cliff S Duester, who also goes by Cliff Simeon Duester, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Santa Monica, California.
Cliff is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Cliff has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cliff Simeon Duester
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) NAME OF ACTIVITY INSURANCE SALES & SERVICE| INVESTMENT RELATED: YES | DBA NAME: PRIVATE LABEL WEALTH MANAGEMENT | POSITION HELD: AGENT/FOUNDER | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 07/06/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 50 | APPROX TRADING HRS PER MTH: 40 | DESCRIPTION OF DUTIES: INSURANCE BROKERAGE DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS." PRIVATE LABEL WEALTH MANAGEMENT USED AS A MARKETING NAME ONLY
CRS (Client Relationship Summary) - RIA
Click below to view Cliff S Duester's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cliff S Duester'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
July 7, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 520 Broadway Suite 200, Santa Monica, CA 90401Office #2: 2 Embarcadero Center 9th Flr, San Francisco, CA 94111Office #3: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
Santa Monica, CA
Current
July 7, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 520 Broadway Suite 200, Santa Monica, CA 90401Office #2: 2 Embarcadero Center 9th Flr, San Francisco, CA 94111Office #3: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
Santa Monica, CA
Past
March 5, 2015 - July 19, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LOS ANGELES, CA
Past
February 26, 2015 - July 19, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LOS ANGELES, CA
Past
December 20, 2013 - October 6, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SAN DIEGO, CA
Past
November 19, 2013 - October 6, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN DIEGO, CA
Past
July 18, 2013 - September 27, 2013
ANDINA FAMILY OFFICES
RIA
CRD#: 151762
SAN DIEGO, CA
Past
November 10, 2009 - July 5, 2013
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SAN DIEGO, CA
Past
April 20, 2009 - July 5, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN DIEGO, CA
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(9/8/2023)
RR
Arkansas(9/18/2024)
IAR
California(7/7/2023)
RR
California(7/12/2023)
RR
Colorado(7/13/2023)
RR
Connecticut(6/18/2024)
RR
Florida(7/10/2023)
RR
Georgia(7/12/2024)
RR
Hawaii(9/17/2024)
RR
Illinois(1/13/2025)
RR
Maine(9/17/2024)
RR
Maryland(9/26/2024)
RR
Massachusetts(10/30/2024)
RR
Michigan(10/4/2024)
RR
Nebraska(9/18/2024)
RR
New Hampshire(9/18/2024)
RR
New Mexico(10/9/2024)
RR
New York(8/19/2023)
RR
North Carolina(8/27/2024)
RR
Ohio(4/2/2025)
RR
Oregon(10/4/2024)
RR
Pennsylvania(9/27/2024)
RR
Rhode Island(9/17/2024)
RR
Tennessee(3/7/2025)
RR
Texas(7/12/2023)
IAR
Texas(7/12/2023)
RR
Utah(8/23/2023)
RR
Virginia(7/20/2023)
RR
Washington(12/18/2024)
RR
Wisconsin(11/22/2024)
RR
Wyoming(9/10/2024)
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)
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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.
