TR
Thomas J. Riley
HORNOR, TOWNSEND & KENT
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 6199720
TR
Professional summary
Thomas James Riley, who also goes by Tj Riley, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tj Riley
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: EMPIRE WEALTH STRATEGIES | POSITION HELD:AGENT | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 1/13/2020 | NATURE OF ACTIVITY: MULTILINE INSURANCE | APPROX HRS PER MTH: OVER 140 HRS | APPROX TRADING HRS PER MTH: OVER 140 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE; INCLUDING LIFE SETTLEMENT SALES EFFECTIVE 03/20/2023; FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY 2) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: GABER GROUP | POSITION HELD: VICE-PRESIDENT/PARTNER | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 4/20/2020 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY 3) P & C SALES | INVESTMENT RELATED: NO | DBA NAME: STRATEGIC INSURANCE CONSULTANTS | POSITION HELD:PARTNER | ADDRESS: 121 WEST OAK STREET AMITYVILLE, NY 11701 | START DATE: 5/1/2020 | NATURE OF ACTIVITY:PROPERTY/CASUALTY INSURANCE | APPROX HRS PER MTH: 10-25 HRS | APPROX TRADING HRS PER MTH: 10-25 HRS | DESCRIPTION OF DUTIES: P& C INSURANCE SALES & SERVICE FOR MULTIPLE CARRIER 4) GIMBEL RILEY LLC POSITION: Partner NATURE: Prop/Casualty Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/08/2023 ADDRESS: 443 2nd Street, Apt 301, Jersey City NJ 07302, United States DESCRIPTION: This will be an opportunity to provide value to our existing and new clients. This has been requested as part of our analysis for many years from our existing clients and center's of influence. Many of our clients do not feel they have a good handle on their personal lines insurance (home owners, auto, umbrella, valuable articles, etc.)
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Riley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Riley'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
March 24, 2022 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Current
January 17, 2020 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Past
November 6, 2018 - December 31, 2019
EQUITY SERVICES, INC.
BD
CRD#: 265
NEW YORK, NY
Past
November 2, 2016 - November 26, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
October 14, 2014 - October 14, 2016
MCADAM LLC
RIA
CRD#: 170914
PHILADELPHIA, PA
Past
October 3, 2014 - October 17, 2016
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Jersey City, NJ
Past
September 18, 2013 - October 3, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PHILADELPHIA, PA
Past
September 6, 2013 - October 3, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PHILADELPHIA, PA
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
California(6/2/2022)
RR
Colorado(5/25/2022)
RR
Connecticut(11/29/2023)
RR
Delaware(4/7/2022)
RR
Florida(4/27/2021)
RR
Massachusetts(6/22/2023)
RR
Nevada(3/25/2021)
RR
New Jersey(1/17/2020)
RR
New York(3/24/2022)
IAR
New York(3/24/2022)
RR
North Carolina(1/14/2025)
RR
Pennsylvania(5/26/2021)
RR
South Carolina(4/19/2022)
RR
Texas(1/4/2023)
IAR
Texas(1/6/2023)
RR
Utah(6/20/2023)
RR
Virginia(1/26/2024)
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.
