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Stephani D. Niblock
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CRD#: 7318268
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Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephani Dawn Niblock, who also goes by Stephani Schamel, Stephani Schamel-myers, was a registered financial professional .
Stephani is a previously registered financial professional and started their career in finance in 2020. Stephani had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephani Schamel | Stephani Schamel-Myers
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) NAME OF ACTIVITY INSURNACE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: EMPIRE WEALTH STRATEGIES | POSITION HELD: AGENT | ADDRESS: 2679 W MAIN ST, SUITE 252, LITTLETON, CO 80120 | START DATE: 08/21/2023 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 100 | APPROX TRADING HRS PER MTH: 100 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 3) NAME OF ACTIVITY WOMEN'S PROFESSIONAL RODEO ASSOCIATION | INVESTMENT RELATED: NO | DBA NAME: WOMEN'S PROFESSIONAL RODEO ASSOCIATION | POSITION HELD: STAFF ACCOUNTANT /EMPLOYEE | ADDRESS: 431 S. CASCADE AVE, COLORADO SPRINGS, CO 80903 | START DATE: 08/21/2023 | NATURE OF ACTIVITY: RODEO ASSOCIATION | APPROX HRS PER MTH: 32 | APPROX TRADING HRS PER MTH: 32 | DESCRIPTION OF DUTIES: RECONCILIATION AND ADMINISTRATION 4) NAME OF ACTIVITY BE YOUR MONEY HERO | INVESTMENT RELATED: NO | DBA NAME: BE YOUR MONEY HERO | POSITION HELD: OWNER | ADDRESS: 10569 TRADERS PARKWAY, FOUNTAIN, CO 80817 | START DATE: 08/21/2023 | NATURE OF ACTIVITY: BOOK AND SPEAKING PODCAST ABOUT HOW OUR PAST AFFECTS OUR RELATIONSHIP WITH MONEY | APPROX HRS PER MTH: 20 | APPROX TRADING HRS PER MTH: 8 | DESCRIPTION OF DUTIES: Teaching/coaching, social media, course and workshop creation, administrative 5) PRIDE ALLIANCE FINANCIAL SERVICES, INC | POSITION: Officer NATURE: D/B/A for my advisor business - Life, health, investments, etc | INVESTMENT RELATED: Yes | NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/02/2023 | ADDRESS: 10569 Traders Pkwy, Fountain CO 80817 | DESCRIPTION: Meet with clients to review current financial situation and what their financial goals are so that we can provide a strategy and products to move towards those goals. Duties also include admin, marketing, etc. 6) FAMILY PROMISE OF COLORADO SPRINGS | POSITION: Trustee | NATURE: Volunteer board member (Treasurer) for a shelter supporting families experiencing homelessness | INVESTMENT RELATED: No | NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 | START DATE: 01/01/2024 | ADDRESS: 10569 Traders Parkway, Fountain CO 80817, United States | DESCRIPTION: Review financial reports, Work in partnership with the President & Executive Director to fulfill the organizations financial & tax reporting responsibilities. Serve on the Finance Committee.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 28, 2023 - May 23, 2025
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
LITTLETON, CO
Past
August 21, 2023 - May 23, 2025
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
LITTLETON, CO
Past
December 14, 2021 - August 18, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
December 10, 2020 - August 18, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/10/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
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.
