ZA
Zeeshan Ali
HORNOR, TOWNSEND & KENT
Addison, TX 75001
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CRD#: 6877529
ZA
Professional summary
Zeeshan Ali is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Addison, Texas.
Zeeshan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Zeeshan has worked at 2 firms and has passed the Series 66, SIE and Series 7 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)INVESTMENT PLANNING FINANCIAL PLANNING AND WEALTH MANAGEMENT | INVESTMENT RELATED: YES | DBA NAME:NOVEL WEALTH STRATEGIES | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 15851 DALLAS PARKWAY STE 100 ADDISON TX 75001 | START DATE: 3/9/2022 | NATURE OF ACTIVITY: INVESTMENT SERVICES | APPROX HRS PER MTH: 41-100 HRS |APPROX TRADING HRS PER MTH: 10-25 HRS | DESCRIPTION OF DUTIES: FINANCIAL PLANNING WEALTH MANAGEMENT. 2)INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: PENNMUTUAL WEALTH STRATEGIES | POSITION HELD: AGENT | ADDRESS: 15851 DALLAS PARKWAY STE 100 ADDISON TX 75001 | START DATE: 3/9/2022 | NATURE OF ACTIVITY: LIFE INSURANCE AND INVESTMENT BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: FINANCIAL PLANNING & INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 3)TAX PLANNING | INVESTMENT RELATED: NO | DBA NAME: SG TAXGROUP LLC | POSITION HELD: PARTNER | ADDRESS: 555 REPUBLIC DR STE 500 PLANO TX 75074 | START DATE: 3/9/2022 | NATURE OF ACTIVITY: CPA/ACCOUNTING SERVICES |APPROX HRS PER MTH: 10-25 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: WORKING WITH CLIENTS WHO NEED TAX PLANNING. 4)CONSULTING | INVESTMENT RELATED: NO | DBA NAME: PROFINGUIDE LLC | POSITION HELD: OWNER | ADDRESS: 5605 ACOMA LN MCKINNEY TX 75070 | START DATE: 3/10/2022 | NATURE OF ACTIVITY: SERVICE INDUSTRY | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: BUSINESS CONSULTING. 5)TAX SERVICES | INVESTMENT RELATED: NO | DBA NAME: PROTAXSERVE LLC | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 5605 ACOMA LN MCKINNEY TX 75070 | START DATE: 7/11/2022 | NATURE OF ACTIVITY: TAX PREPARER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: TAX PREPARATION 6)TAX ADVISORY | POSITION: CONTRACTOR/CONSULTANT | NATURE: TAX PREPARATION | INVESTMENT RELATED: NO | NUMBER OF HOURS: 5 | SECURITIES TRADING HOURS: 0 | START DATE: 12/01/2023 | ADDRESS: , TX | DESCRIPTION: TAX PLANNING ADVISE TO CPA FOR HIS CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Zeeshan Ali's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zeeshan Ali'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
June 6, 2022 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 15851 N Dallas Parkway Suite 100, Addison, TX 75001Office #2: 7300 State Highway 121 Ste 102, Mckinney, TX 75070RIA
BD
CRD#: 4031
Addison, TX
Current
March 10, 2022 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 15851 N Dallas Parkway Suite 100, Addison, TX 75001RIA
BD
CRD#: 4031
Addison, TX
Past
March 15, 2018 - January 26, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Dallas, TX
Past
January 2, 2018 - January 26, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Dallas, TX
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(3/28/2022)
RR
Michigan(4/19/2023)
RR
New York(6/26/2025)
RR
Texas(3/10/2022)
IAR
Texas(6/6/2022)
Exams
State Security Law 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)
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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.
