JM
John E. Mccaffrey
HORNOR, TOWNSEND & KENT
Colorado Springs, CO 80903
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CRD#: 7373007
JM
Professional summary
John Elijah Mccaffrey is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Colorado Springs, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. John has worked at 2 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO and SIE 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) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847FINANCIAL | POSITION HELD: AGENT | ADDRESS: 102 S TEJON ST, SUITE 1100, COLORADO SPRINGS, CO 80903| START DATE: 09/01/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 40 | APPROX TRADING HRS PER MTH: 40 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS 2) CLEANING BUSINESS | POSITION: Partner | NATURE: I will be starting a home cleaning business working with individuals as well as property managers to meet their cleaning needs. We will primarily be servicing home cleans for customers primary residence and move in/move out cleans for apartments. | INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 03/05/2025 | ADDRESS: 102 S Tejon St, Suite 1100, Colorado Springs CO 80903 | DESCRIPTION: My duties would include following up with potential customers who inquired for home cleaning services to confirm the services they need and to book their cleaning. I would also be following up with customers to make sure they were satisfied with the service they received. I will also be working with property managers to coordinate move in/move out cleans anytime they have a residents moving in or out of the apartments they manage. I will be responsible for interviewing and hiring cleaners and working with them to make sure their needs are met.
CRS (Client Relationship Summary) - RIA
Click below to view John Elijah Mccaffrey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Elijah Mccaffrey'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 18, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 102 S Tejon St Suite 1100, Colorado Springs, CO 80903RIA
BD
CRD#: 4031
Colorado Springs, CO
Current
October 7, 2024 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 102 S Tejon St Suite 1100, Colorado Springs, CO 80903RIA
BD
CRD#: 4031
Colorado Springs, CO
Past
August 30, 2022 - October 15, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
COLORADO SPGS, 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.
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
Alaska(1/24/2025)
RR
Arizona(10/7/2024)
RR
California(10/7/2024)
RR
Colorado(10/7/2024)
IAR
Colorado(11/18/2024)
RR
Georgia(10/7/2024)
RR
Illinois(10/7/2024)
RR
Indiana(4/8/2025)
RR
Louisiana(10/7/2024)
RR
Michigan(10/7/2024)
RR
Missouri(10/7/2024)
RR
New Mexico(10/7/2024)
RR
New York(10/7/2024)
RR
South Carolina(10/7/2024)
RR
Texas(10/7/2024)
RR
Virginia(10/7/2024)
RR
Washington(10/7/2024)
RR
Wisconsin(10/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/30/2022
General Securities Representative ExaminationGeneral 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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Colorado Springs, CO 80903TRUST BUT VERIFY
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