PB
Pegge A. Barrier
HORNOR, TOWNSEND & KENT
St Petersburg, FL 33707
Some features on this profile are disabled
CRD#: 6240439
PB
Professional summary
Pegge Ann Barrier, who also goes by Pegge Ann Cowan, Pegge Ann Powell, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in St Petersburg, Florida.
Pegge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Pegge has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pegge Ann Cowan | Pegge Ann Powell
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 & INVESTMENT BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: NEW DAY FINANCIAL ADVISORS, LLC | POSITION HELD: CEO | ADDRESS: 6425 1ST AVE S, ST PETERSBURG, FL 33707 | START DATE: 09/01/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 160 | APPROX TRADING HRS PER MTH: 160 | DESCRIPTION OF DUTIES: INSURANCE AND INVESTMENT SALES AND SERVICE ALSO SELLING AND SERVICING DISABILTY AND HEATH INCLUDING PENN MUTUAL LIFE PRODUCTS. 2)RENTAL PROPERTY | DBA: BARRIER PROPERTIES LLC | POSITION: PARTNER | NATURE: RENTAL PROPERTY OWNER | INVESTMENT RELATED: NO | NUMBER OF HOURS: 5 | SECURITIES TRADING HOURS: 0 | START DATE: 03/20/2023 | ADDRESS: 1200 89TH AVE N, SAINT PETERSBURG FL 33702 | DESCRIPTION: MY HUSBAND & I ARE PARTNERS OWNING BARRIER PROPERTIES LLC. WE HAVE PURCHASED A HOME AND ARE REFURBISHING IT TO BEGIN RENTING IT OUT SOMETIME OVER THIS COMING SUMMER. AS 50% PARTNER I WOULD ASSUME TO RECEIVE 1/2 OF THE INCOME ANNUALLY.
CRS (Client Relationship Summary) - RIA
Click below to view Pegge Ann Barrier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Pegge Ann Barrier'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
September 5, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 6425 1st Ave S, St Petersburg, FL 33707RIA
BD
CRD#: 4031
St Petersburg, FL
Current
September 1, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 6425 1st Ave S, St Petersburg, FL 33707RIA
BD
CRD#: 4031
St Petersburg, FL
Past
December 15, 2020 - September 6, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ST PETERSBURG, FL
Past
December 15, 2020 - September 6, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
ST PETERSBURG, FL
Past
October 13, 2014 - December 15, 2020
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ST PETERSBURG, FL
Past
August 1, 2014 - October 6, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST. PETERSBURG, FL
Past
June 13, 2014 - August 22, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
TAMPA, FL
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(9/1/2023)
RR
Florida(9/1/2023)
IAR
Florida(9/5/2023)
RR
Georgia(9/1/2023)
RR
Kansas(6/5/2025)
RR
North Carolina(9/6/2023)
RR
Pennsylvania(8/8/2024)
RR
Texas(9/1/2023)
IAR
Texas(9/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2020
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)
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.
