TP
Tomas A. Parks
HORNOR, TOWNSEND & KENT
Woodstock, GA 30188
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CRD#: 6236276
TP
Professional summary
Tomas A Parks is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Woodstock, Georgia.
Tomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Tomas has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, 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: STRATEGIC PLANNING GROUP | POSITION HELD: AGENT | ADDRESS: 980 WOODSTOCK PKWY Suite 210, WOODSTOCK, GA 30188| START DATE: 05/28/2018| NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE OF LIFE, HEALTH/DI, ANNUITY FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2 )KENNESAW STATE UNIVERSITY ASSISTANT PROFESSOR | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: EMPLOYEE | ADDRESS: 1000 CHASTAIN ROAD KENNESAW, GA 30144 | START DATE: 8/1/2018 | NATURE OF ACTIVITY: TEACHER | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 10-25 HRS | DESCRIPTION OF DUTIES: TEACHING CLASSES. 3) INSURANCE BROKERAGE POSITION: Team Member NATURE: Life Insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2023 ADDRESS: 14785 Seminole Trail, Seminole FL 33776, United States DESCRIPTION: Insurance sales and service for multiple carriers, including Penn Mutual (Life, DI, LTC, Health). 4)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT | ADDRESS: 980 WOODSTOCK PKWY Suite 210, WOODSTOCK, GA 30188| START DATE: 01/01/2024| NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE OF LIFE, HEALTH/DI, ANNUITY FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Tomas A Parks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tomas A Parks'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 4, 2021 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188RIA
BD
CRD#: 4031
Woodstock, GA
Current
December 27, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 980 Woodstock Pkwy Suite 210, Woodstock, GA 30188RIA
BD
CRD#: 4031
Woodstock, GA
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(5/30/2018)
RR
Florida(12/27/2013)
RR
Georgia(12/6/2016)
IAR
Georgia(3/4/2021)
RR
Maine(1/7/2021)
RR
North Carolina(1/28/2019)
RR
Ohio(1/28/2014)
RR
South Carolina(1/7/2021)
RR
Virginia(5/30/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2019
General Securities Representative ExaminationGeneral 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.
