LD
Luis M. Dieguez
HORNOR, TOWNSEND & KENT
Charlotte, NC 28277
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CRD#: 6132078
LD
Professional summary
Luis Miguel Dieguez is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Charlotte, North Carolina.
Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Luis has worked at 5 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: EMERALD FINANCIAL GROUP | POSITION HELD: AGENT | ADDRESS: 13777 BALLANTYNE CORPORATE PLACE, CHRLOTTE, NC 28277 | START DATE: 10/05/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 20 | APPROX TRADING HRS PER MTH: 20 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL. 2)BASEBALL COACHING | POSITION: PAID COACH | NATURE: COACHING SON'S 9U BASEBALL TEAM | INVESTMENT RELATED: NO | NUMBER OF HOURS: 20 | SECURITIES TRADING HOURS: 0 | START DATE: 05/01/2025 | ADDRESS: PROVIDENCE PARK, OLDE 3800 READ ROAD, CHARLOTTE NC 28226 | DESCRIPTION: COACHING BASEBALL, GAMES AND PRACTICES.
CRS (Client Relationship Summary) - RIA
Click below to view Luis Miguel Dieguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luis Miguel Dieguez'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
May 22, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Charlotte, NC
Current
October 6, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Charlotte, NC
Past
January 31, 2022 - September 5, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Matthews, NC
Past
May 13, 2020 - February 2, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLOTTE, NC
Past
April 16, 2019 - March 25, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLOTTE, NC
Past
March 20, 2018 - March 15, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ADDISON, TX
Past
November 29, 2017 - December 21, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ADDISON, 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
Florida(11/16/2023)
RR
North Carolina(10/6/2023)
IAR
North Carolina(5/22/2024)
RR
South Carolina(11/16/2023)
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.
