SP
Spencer J. Phillips
HORNOR, TOWNSEND & KENT
Leawood, KS 66211
Some features on this profile are disabled
CRD#: 6234410
SP
Professional summary
Spencer James Phillips, CIMA®, who also goes by Spencer J Phillips, Spencer Phillips, Spencer James Phillips, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Leawood, Kansas.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Spencer has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Spencer J Phillips | Spencer Phillips | Spencer James Phillips
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: 4000 W 114 TH ST, SUITE 140, LEAWOOD, KS 66211 | START DATE: 06/20/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 40 | APPROX TRADING HRS PER MTH: 40 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 2) INSURANCE | POSITION: Partner |DBA: Total Financial Partners | NATURE: Life Insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/16/2025 | ADDRESS: 4000 w 114th st, ste 140, Leawood KS 66211 | DESCRIPTION: Life insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Spencer James Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Spencer James Phillips'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®
Experience
Current
June 20, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 4000 West 114th Street Suite 140, Leawood, KS 66211RIA
BD
CRD#: 4031
Leawood, KS
Current
June 20, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 4000 West 114th Street Suite 140, Leawood, KS 66211RIA
BD
CRD#: 4031
Leawood, KS
Past
May 7, 2024 - June 5, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Saint Louis, MO
Past
May 7, 2024 - June 5, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
Saint Louis, MO
Past
August 5, 2021 - April 29, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Overland Park, KS
Past
August 3, 2021 - April 29, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Overland Park, KS
Past
May 23, 2019 - April 21, 2021
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
May 23, 2019 - April 30, 2021
IVY DISTRIBUTORS, INC.
BD
CRD#: 16496
OVERLAND PARK, KS
Past
September 16, 2013 - May 1, 2019
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
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
Arizona(10/2/2025)
RR
Florida(7/25/2024)
RR
Kansas(6/20/2024)
RR
Minnesota(6/24/2024)
RR
Missouri(6/20/2024)
IAR
Missouri(6/20/2024)
RR
Oklahoma(7/25/2024)
RR
Texas(7/25/2024)
IAR
Texas(7/25/2024)
RR
Washington(4/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
