MU
Michael J. Underwood
HORNOR, TOWNSEND & KENT
Fairport, NY
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CRD#: 837829
MU
Professional summary
Michael John Underwood, CFP® is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Fairport, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Michael has worked at 4 firms and has passed the Series 63, Series 65, Series 22TO, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Investment Planning
Insurance Planning
Retirement Planning
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 AND INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: COORDINATED WEALTH PLANNING | POSITION HELD: PRESIDENT/AGENT | ADDRESS: 49 NELSON STREET FAIRPORT, NEW YORK 14450 | START DATE: 11/4/2022 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 26- 40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES: INVESTMENT RELATED. INSURANCE SALES AND SERVICE. LIFE, ACCIDENT, HEALTH, DISABILITY, LONG TERM CARE AND SERVICE FOR MULTIPLE CARRIERS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Underwood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Underwood'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®
CFP®
Start date: 1989
Experience
Current
June 26, 2008 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Fairport, NY
Current
June 24, 2008 - Present
HORNOR, TOWNSEND & KENT, LLC
RIA
BD
CRD#: 4031
Fairport, NY
Past
February 2, 2001 - June 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
ROCHESTER, NY
Past
June 19, 1983 - September 4, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Past
May 15, 1981 - June 7, 1982
FOSTER & CO. EQUITIES, INC.
BD
CRD#: 7622
Past
May 24, 1977 - June 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
ROCHESTER, NY
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
Arizona(6/24/2008)
RR
California(10/22/2019)
RR
Connecticut(10/20/2015)
RR
Florida(6/24/2008)
IAR
Florida(6/26/2008)
RR
Georgia(7/19/2018)
RR
Massachusetts(8/17/2021)
RR
New Jersey(2/4/2014)
RR
New York(6/24/2008)
IAR
New York(3/19/2021)
RR
North Carolina(6/24/2008)
RR
Pennsylvania(6/24/2008)
RR
South Carolina(6/24/2008)
RR
South Dakota(10/1/2018)
RR
Texas(10/31/2017)
RR
Virginia(11/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/17/1977
Registered Representative ExaminationSRO 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.
