Louis P. Dicerbo

HORNOR, TOWNSEND & KENT

NEW YORK, NY 10007

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CRD#: 67211

Professional summary

Louis Peter Dicerbo, who also goes by Louis P Dicerbo, is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1968. Louis has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Louis P Dicerbo

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Peter Dicerbo's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 20, 1984 - Present

HORNOR, TOWNSEND & KENT, LLC

Office #1: 30 Vesey St 9th Floor, New York, NY 10007

RIA

CRD#: 4031

NEW YORK, NY

Past

January 27, 2004 - September 27, 2005

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

NEW YORK, NY

Past

February 3, 1983 - January 18, 1984

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

Past

November 10, 1972 - November 6, 1979

SECURITY INVESTMENT SERVICES CORP.

CRD#: 760

Past

November 10, 1972 - December 28, 1982

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

CRD#: 7303

Past

February 18, 1972 - February 10, 1983

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

March 22, 1968 - November 30, 1972

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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)

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.

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

California
(4/17/1984)

Connecticut
(1/20/1984)

Florida
(2/24/1984)

Illinois
(2/23/1984)

New Jersey
(1/23/1984)

New York
(1/20/1984)

Ohio
(2/24/1984)

Pennsylvania
(11/13/1984)

Vermont
(5/10/1984)

Virginia
(12/4/1984)

Washington
(6/4/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/20/1968

Registered Representative Examination

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (8/12/2025)

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (8/12/2025)

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.

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Louis P. Dicerbo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Peter Dicerbo's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

JANNEY MONTGOMERY SCOTT LLC

SECURITY INVESTMENT SERVICES CORP.

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

HORNOR, TOWNSEND & KENT, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/20/1968

FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

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