RC
Rafael Carballo
HORNOR, TOWNSEND & KENT
Houston, TX 77057
Some features on this profile are disabled
CRD#: 6030232
RC
Professional summary
Rafael Carballo is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Houston, Texas.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Rafael has worked at 2 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)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847FINANCIAL | POSITION HELD: AGENT | ADDRESS: 5718 WESTHEIMER RD, STE 920, HOUSTON, TX 77057 | START DATE: 11/01/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 50 | APPROX TRADING HRS PER MTH: 50 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 2)NAME OF ACTIVITY RENTAL PROPERTY | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: OWNER | ADDRESS: 9103 LONGSTAFF DR, HOUSTON, TX 77031 | START DATE: 2015 | NATURE OF ACTIVITY: RENTAL PROPERTIES | APPROX HRS PER MTH: 2 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: RENTAL PROPERTY OWNER; COLLECT RENTAL INCOME AND MAKE HOSUE REPAIRS AS NEEDED 3)NAME OF ACTIVITY HEALTH INSURANCE SALES | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: RECOMMEND CLIENTS TO ANOTHER AGENT FOR COMMISSIONS | ADDRESS: 9103 LONGSTAFF DR, HOUSTON, TX 77031 | START DATE: 2016 | NATURE OF ACTIVITY: HEALTH INSURANCE SALES | APPROX HRS PER MTH: 1 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: HEALTH INSURANCE SALES AND SERVICE
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Carballo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafael Carballo'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
November 26, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057RIA
BD
CRD#: 4031
Houston, TX
Current
November 21, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057RIA
BD
CRD#: 4031
Houston, TX
Past
September 15, 2022 - November 18, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
April 4, 2013 - November 18, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
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
Iowa(3/13/2025)
RR
Texas(11/21/2024)
IAR
Texas(11/26/2024)
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.
