TS
Thomas J. Sullivan
HORNOR, TOWNSEND & KENT
Burlington, MA 01803
Some features on this profile are disabled
CRD#: 870778
TS
Professional summary
Thomas John Sullivan, CFP® is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Burlington, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Thomas has worked at 5 firms and has passed the Series 63, Series 62, Series 22TO, Series 6TO, SIE, Series 7, Series 1 and Series 24 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) CONDON SULLIVAN WEALTH MANAGEMENT & PLANNING INSURANCE BROKERAGE | INVESTMENT RELATED - YES | DBA NAME: CONDON SULLIVAN WEALTH MANAGEMENT & PLANNING | POSITION HELD: PARTNER | ADDRESS: 131 MIDDLESEX TURNPIKE, 2ND FLOOR BURLINGTON, MA 01803 | START DT: 6/24/2016 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Sullivan'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: 1992
Experience
Current
July 13, 1992 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 131 Middlesex Turnpike 2nd Flr, Burlington, MA, 01803RIA
BD
CRD#: 4031
Burlington, MA
Current
September 14, 1988 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 131 Middlesex Turnpike 2nd Flr, Burlington, MA, 01803RIA
BD
CRD#: 4031
Burlington, MA
Past
December 16, 1989 - July 3, 1990
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 27, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
February 2, 1988 - September 19, 1988
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
Past
July 19, 1983 - February 12, 1988
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
Past
August 31, 1979 - April 8, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(1/13/2004)
RR
Colorado(5/21/2009)
RR
Connecticut(9/14/1988)
RR
District of Columbia(2/26/2018)
RR
Florida(9/14/1988)
IAR
Florida(4/30/2025)
RR
Georgia(12/20/2012)
RR
Illinois(2/13/2003)
RR
Maine(10/26/1988)
RR
Maryland(7/28/2004)
RR
Massachusetts(9/14/1988)
IAR
Massachusetts(4/30/1999)
RR
Nevada(6/13/2011)
RR
New Hampshire(10/28/1991)
RR
New Jersey(12/22/2017)
RR
New Mexico(2/13/2013)
RR
New York(9/14/1988)
RR
North Carolina(10/15/2010)
RR
Ohio(9/10/1999)
RR
Pennsylvania(6/12/1991)
RR
Rhode Island(4/2/1998)
RR
South Carolina(1/11/2007)
RR
Tennessee(1/8/2019)
RR
Utah(4/8/2003)
RR
Vermont(7/26/2018)
RR
Virginia(10/31/1991)
RR
West Virginia(8/21/2015)
RR
Wyoming(3/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/25/1979
Registered Representative ExaminationPrincipal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 4031Burlington, MA 01803TRUST BUT VERIFY
Monitor Thomas Sullivan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
