LW
Leah G. Williams
HORNOR, TOWNSEND & KENT
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 6675334
LW
Professional summary
Leah Grace Williams, who also goes by Leah Grace Hanrion, Leah Grace Unzicker, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Charlotte, North Carolina.
Leah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Leah has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leah Grace Hanrion | Leah Grace Unzicker
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 PL, CHARLOTTE, NC 28277 | START DATE: 10/30/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 10 | APPROX TRADING HRS PER MTH: 10 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS INCLUDING PENN MUTUAL. 2)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: SAVVY FINANCIAL LLC | POSITION HELD: OWNER | ADDRESS: 13777 BALLANTYNE CORPORATE PL, CHARLOTTE, NC 28277 | START DATE: 10/30/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 180 | APPROX TRADING HRS PER MTH: 140 | DESCRIPTION OF DUTIES: FINANCIAL PLANNING. 3)ANNUITY BROKERAGE AND LEAD SYSTEM | INVESTMENT RELATED: YES | DBA NAME: ANNUITY ASSOCIATION | POSITION HELD: AGENT | ADDRESS: 759 SW FEDRAL HWY, STE-200H, STUART, FL 34994 | START DATE: 10/30/2023 | NATURE OF ACTIVITY: ANNUITY BROKERAGE AND LEAD SYSTEM | APPROX HRS PER MTH: 20 | APPROX TRADING HRS PER MTH: 15 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE OF LIFE PRODUCTS. 4)NETWORKING | INVESTMENT RELATED: NO | DBA NAME: EMPOWER-HER | POSITION HELD: CO-OWNER | ADDRESS: VIRTUAL | START DATE: 10/30/2023 | NATURE OF ACTIVITY: NETWORKING GROUP | APPROX HRS PER MTH: 10 | APPROX TRADING HRS PER MTH: 5 | DESCRIPTION OF DUTIES: PROVIDE PLAN FOR NETWORKING EVENTS : MOTIVATIONAL SPEAKING. 5) PODCAST CO-HOST| POSITION: No entity has been created | NATURE: Co-hosting a podcast to highlight the female business owners in the ton I live, Fort Mill, SC. INVESTMENT RELATED: No | NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 | START DATE: 10/15/2024 | ADDRESS: 6153 Kilchurn Dr, Indian Land SC 29707 | DESCRIPTION: I will be interviewing women business owners and featuring non-profits on a short weekly podcast. The goal is to support local women in business which is in line with my brand of empowering women.
CRS (Client Relationship Summary) - RIA
Click below to view Leah Grace Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leah Grace Williams'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
November 10, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Charlotte, NC
Current
November 3, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 13777 Ballantyne Corp Pl Ste 225, Charlotte, NC 28277RIA
BD
CRD#: 4031
Charlotte, NC
Past
December 16, 2021 - October 27, 2023
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
INDIAN LAND, SC
Past
September 26, 2016 - October 27, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
INDIAN LAND, SC
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
Massachusetts(4/11/2024)
RR
Missouri(12/20/2023)
RR
New York(4/25/2024)
IAR
North Carolina(11/10/2023)
RR
North Carolina(11/13/2023)
RR
Oregon(10/9/2025)
RR
South Carolina(11/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
