Shaun O. Thomas

HORNOR, TOWNSEND & KENT

Conshohocken, PA 19428

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CRD#: 6107503

Professional summary

Shaun Oclaire Thomas, who also goes by Shaun O'claire Murphy, Shaun O Thomas, Shaun O"claire Thomas, Shaun O'claire Thomas, Shaun Oclaire Thomas, is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.

Shaun is registered as a RR (Registered Representative) and started their career in finance in 2012. Shaun has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shaun O'claire Murphy | Shaun O Thomas | Shaun O"claire Thomas | Shaun O'claire Thomas | Shaun Oclaire Thomas

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Oclaire Thomas's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 23, 2025 - Present

HORNOR, TOWNSEND & KENT, LLC

Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428

RIA

CRD#: 4031

Conshohocken, PA

Past

February 24, 2025 - June 17, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

GREAT FALLS, MT

Past

March 23, 2023 - August 23, 2024

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

OMAHA, NE

Past

May 6, 2022 - December 1, 2022

EDWARD JONES

RIA

CRD#: 250

GREAT FALLS, MT

Past

April 25, 2022 - December 1, 2022

EDWARD JONES

CRD#: 250

GREAT FALLS, MT

Past

June 9, 2021 - February 3, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LAS VEGAS, NV

Past

September 24, 2020 - March 10, 2021

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

Past

April 30, 2018 - January 3, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

YUCCA VALLEY, CA

Past

April 2, 2015 - April 26, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIAN WELLS, CA

Past

October 1, 2012 - March 4, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

DESERT HOT SPRINGS, CA

Past

September 18, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

YUCCA VALLEY, 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)

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.

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

Pennsylvania
(9/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/26/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Shaun O. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Oclaire Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

EDWARD JONES

EDWARD JONES

AMERIPRISE FINANCIAL SERVICES, LLC

D.A. DAVIDSON & CO.

J.P. MORGAN SECURITIES LLC

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2015

Series 6

Date: 9/17/2012

FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

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