LS
Leroy D. Simpson
HORNOR, TOWNSEND & KENT
Houston, TX 77057
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CRD#: 8038709
LS
Leroy Douglas Simpson IIIHORNOR, TOWNSEND & KENT
Professional summary
Leroy Douglas Simpson III, who also goes by Leroy Douglas Simpson, Roy Douglas Simpson, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Houston, Texas.
Leroy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Leroy has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Aliases
Leroy Douglas Simpson | Roy Douglas Simpson
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: 2895 HWY 190 STE 234, Mandeville, LA 70471 | START DATE: 08/05/2025 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 25 | APPROX TRADING HRS PER MTH: 100 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS. 2)NAME OF ACTIVITY NORTH AMERICAN INSURANCE | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: BROKER | ADDRESS: 2500 LEGACY DRIVE #130, FRISCO, TX 75034 | START DATE: 05/2025 | NATURE OF ACTIVITY: LIFE INSURANCE ONLINE PLATFORM | APPROX HRS PER MTH: 5 | APPROX TRADING HRS PER MTH: 5 | DESCRIPTION OF DUTIES: : INSURANCE SALES AND SERVICE. 3)NAME OF ACTIVITY: L.D. SIMPSON, LLC | INVESTMENT RELATED: YES | DBA NAME: L.D. SIMPSON, LLC | POSITION HELD: OWNER | ADDRESS: 7114 EDGEWATER DR. MANDEVILLE, LA 70471 | START DATE: 07/2022 | NATURE OF ACTIVITY: INVESTMENT HOLDING COMPANY | APPROX HRS PER MTH: 5 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: ENTITY USED FOR PERSONAL SECURITIES ACCOUNTS. 4)NAME OF ACTIVITY: ALB INSURANCE | INVESTMENT RELATED: NO | DBA NAME: ALB INSURANCE | POSITION HELD: BROKER | ADDRESS: 1408 GABLES COURT #1, PLANO, TX 75075 | START DATE: 10/2022 | NATURE OF ACTIVITY: LIFE INSURANCE SALES | APPROX HRS PER MTH: 10 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE. 5)NAME OF ACTIVITY MEN OF ST. TAMMANY/MOST STEWARDSHIP GROUP | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: VP OF BUSINESS | ADDRESS: MANDERVILLE, LA 70471 | START DATE: 07/2025 | NATURE OF ACTIVITY: SOCIAL-BUSINESS ORGANIZATION PARTNERING WITH PENN MUTUAL FOR FINANCIAL ADVISING SERVICES | APPROX HRS PER MTH: 30 | APPROX TRADING HRS PER MTH: 30 | DESCRIPTION OF DUTIES: SOCIAL CONSULTING WITH COMMUNITY SERVICES. 6)NAME OF ACTIVITY NORTHSHORE ROBOTICS | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: BOARD VICE PRESIDENT | ADDRESS: 1 ST ANN DRIVE, STE 2579, MANDERVILLE, LA 70470 | START DATE: 06/01/2023 | NATURE OF ACTIVITY: PROVIDING STEM AND ART EDUCATION TO CHILDREN AGES 6-17 | APPROX HRS PER MTH: 10 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: ADMINISTARION AND NETWORKING. 7)NAME OF ACTIVITY: UNIVERSITY OF ARIZONA GLOBAL CAMPUS | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: PROFESSOR | ADDRESS: 7114 EDGEWATER DR, MANDEVILLE, LA 70471 | START DATE: 07/2023 | NATURE OF ACTIVITY: HIGHER EDUCATION | APPROX HRS PER MTH: 25 | APPROX TRADING HRS PER MTH: 25 | DESCRIPTION OF DUTIES: TEACHING EDUCATIONAL CLASSES FOCUSING ON; PSYCHOLOGY, RESEARCH & STATISTICS. 8)NAME OF ACTIVITY BELLEVUE UNIVERSITY | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: INSTRUCTOR | ADDRESS: 7114 EDGEWATER DR, MANDEVILLE, LA 70471 | START DATE: 12/2021 | NATURE OF ACTIVITY: HIGHER EDUCATION | APPROX HRS PER MTH: 25 | APPROX TRADING HRS PER MTH: 25 | DESCRIPTION OF DUTIES: TEACHING EDUCATIONAL CLASSES FOCUSING ON; PSYCHOLOGY, RESEARCH & STATISTICS. 9)NAME OF ACTIVITY MARYVILLE UNVIVERSITY | INVESTMENT RELATED: NO | DBA NAME: NA | POSITION HELD: INSTRUCTOR | ADDRESS: 7114 EDGEWATER DR, MANDEVILLE LA 70471 | START DATE: 08/2020 | NATURE OF ACTIVITY: INSTRUCTOR | APPROX HRS PER MTH: 25 | APPROX TRADING HRS PER MTH: 25 | DESCRIPTION OF DUTIES: TEACHING EDUCATIONAL CLASSES FOCUSING ON; PSYCHOLOGY, RESEARCH & STATISTICS.
CRS (Client Relationship Summary) - RIA
Click below to view Leroy Douglas Simpson III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leroy Douglas Simpson III'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
August 26, 2025 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057Office #2: 2895 Highway 190 Suite 200, Mandeville, LA 70471RIA
BD
CRD#: 4031
Houston, TX
Current
August 29, 2025 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 5718 Westheimer Rd Suite 920, Houston, TX 77057RIA
BD
CRD#: 4031
Houston, TX
Past
March 5, 2025 - August 25, 2025
CONSORTIUM PRIVATE WEALTH LLC
RIA
CRD#: 325038
SLIDELL, LA
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
IAR
Louisiana(8/26/2025)
RR
Louisiana(10/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2025
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.
