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161 Washington Street, Conshohocken, PA 19428 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-05-20 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hornor, Townsend & Kent, Inc | Horsham | PA | 03/2013 | 09/2022 |
| Penn Mutual Life Insurance Company | Horsham | PA | 03/2013 | Present |
| Guardian Life Insurance Company | Cincinnati | OH | 09/2022 | 04/2024 |
| Park Avenue Securities | Cincinnati | OH | 09/2022 | 04/2024 |
| Hornor, Townsend, & Kent Llc | Horsham | PA | 04/2024 | Present |
1)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: ADVANCED CAPITAL ADVISORY GROUP, LLC | POSITION HELD: AGENT | ADDRESS: 7630 GIVEN ROAD, CINCINNATI, OH 45243 | START DATE: 04/26/2024 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 20 | APPROX TRADING HRS PER MTH: 10 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS. 2)RENTAL PROPERTY | INVESTMENT RELATED: NO | DBA NAME: N/A | POSITION HELD: OWNER | ADDRESS: 6901 CARROLL AVENUE, CINCINNATI, OH 45236 | START DATE: 04/26/2024 | NATURE OF ACTIVITY: RENTAL PROPERTY | APPROX HRS PER MTH: 2 | APPROX TRADING HRS PER MTH: 0 | DESCRIPTION OF DUTIES: RENT PROPERTY TO OTHERS VIA BOOKING SITES LIKE VRBO AND AIR BNB. 3)RISK MANAGEMENT CONSULTING | POSITION: AGENT | NATURE: CAPTIVE INSURANCE COMPANY CONSULTING. I SERVE AS A "BRIDGE" BETWEEN THE CLIENT AND THE CAPTIVE FORMATION & TPA COMPANY (CIC SERVICES) TO ASSIST IN THE FLOW OF INFORMATION BETWEEN THE CLIENT AND CIC SERVICES, AND HELP BOTH BETTER UNDERSTAND THE RISK MANAGEMENT REASONS FOR USING THE CAPTIVE STRATEGY. I AM NOT INVOLVED IN THE FORMATION OR ADMINISTRATION OF THE CAPTIVE ON AN ONGOING BASIS. HOWEVER, I HAVE FREQUENT CONTACT WITH ALL PARTIES INVOLVED, SO I CAN BETTER UNDERSTAND THE EFFECTS THE STRATEGY HAS ON THE CLIENT OVERALL FINANCIAL PLANS. CIC SERVICES OFFERS 2% OF THE CAPTIVE'S FIRST YEAR'S PREMIUM TO THE "REFERRING ADVISOR". THIS IS THE ONLY COMPENSATION INVOLVED | INVESTMENT RELATED: NO | NUMBER OF HOURS: 1 | SECURITIES TRADING HOURS: 1 | START DATE: 12/01/2025 | ADDRESS: 7630 GIVEN ROAD, CINCINNATI OH 45243 | DESCRIPTION: PLEASE SEE ABOVE. I'M INVOLVED IN THE RISK MANAGEMENT CONSULTING PHASE OF THE CAPTIVE INSURANCE COMPANY EXPLORATION PHASE. I TRY TO MAKE SURE THAT BOTH THE CLIENT & THE CAPTIVE ADMINISTRATOR ARE "ON THE SAME PAGE", AND THAT I UNDERSTAND THE IMPACT THE STRATEGY WILL HAVE ON THE CLIENT'S OVERALL FINANCIAL PLAN. I REFER THE CLIENT TO THE CAPTIVE FORMATION & ADMINISTRATION COMPANY (CIC SERVICES), BASED ON MY PAST EXPERIENCE WITH THEM, AS I HAVE A FEW CLIENTS THAT HAVE FORMED & USED 831B CAPTIVES IN THE PAST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-20 |
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