TB
Thomas E. Brophy
HORNOR, TOWNSEND & KENT
Seminole, FL
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CRD#: 5961037
TB
Professional summary
Thomas Edward Brophy is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Seminole, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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: 21ST CENTURY FINANCIAL | POSITION HELD: AGENT |ADDRESS: 14785 SEMINOLE TRAIL, SEMINOLE, FL 33776 | START DATE: 12/13/2018 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | 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) RENTAL PROPERTY OWNER | INVESTMENT RELATED: NO | DBA NAME: SPENCERPORT PROPERTIES, LLC | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 3433 LITHIA PINECREST RD, STE 224, VALRICO, FL 33596 | START DATE: 8/1/2013 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: MANAGER & BOOKKEEPER FOR THE LLC. 3)INSURANCE BROKERAGE DBA NAME: 1847FINANCIAL INVESTMENT RELATED: YES ADDRESS:14785 SEMINOLE TRAIL SEMINOLE, FL 33776 NATURE OF OBA: INSURANCE SALES AND SERVICE LIFE INSURANCE START DATE OF OBA: 8/1/2020 POSITION, TITLE, RELATIONSHIP: FINANCIAL ADVISOR APPROXIMATE NUMBER OF HOURS/MONTH:160 APPROXIMATE NUMBER OF HOURS/MONTH: 128 DESCRIBE DUTIES: INSURANCE SALES AND SERVICE OF LIFE INSURANCE PRODUCTS WITH PENN MUTUAL LIFE INSURANCE COMPANY. 4)INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: STRATEGIC PLANNING GROUP | POSITION HELD:AGENT | ADDRESS: 6000 FAIRVIEW RD., STE 1425 CHARLOTTE, NC 28210 | START DATE: 12/12/2018 | NATURE OF ACTIVITY:LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS |DESCRIPTION OF DUTIES: SALES & SERVICE OF INSURANCE & INVESTMENTS/ BROKERAGE; LIFE, ACCIDENT, HEALTH/DI/LTC, AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INSURANCE CO.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Brophy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Brophy'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
January 23, 2019 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Seminole, FL
Current
December 19, 2018 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Seminole, FL
Past
April 6, 2017 - December 31, 2018
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Valrico, FL
Past
April 3, 2017 - December 31, 2018
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Valrico, FL
Past
December 12, 2016 - February 2, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
TAMPA, FL
Past
July 2, 2015 - February 2, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
TAMPA, FL
Past
November 2, 2011 - June 25, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TAMPA, FL
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(12/19/2018)
IAR
Florida(1/23/2019)
RR
New York(1/6/2021)
RR
Pennsylvania(4/9/2021)
Exams
State Security Law Exam
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.
