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Current Employers
Vanderbilt Advisory Services

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-05-30
  • CT RA
    APPROVED
    Since 2017-05-30

Branch Locations

125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States

1120 South Main St, Chesire, CT 06410 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hornor Townsend & Kent Inc Horsham PA 03/2006 05/2017
Penn Mutual Horsham PA 03/2006 Present
Vanderbilt Securities, Llc Woodbury NY 05/2017 Present
  • 03/2006 → 05/2017
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 03/2006 → Present
    Penn Mutual
    Horsham, PA
  • 05/2017 → Present
    Vanderbilt Securities, Llc
    Woodbury, NY
Previous Registrations
Other Businesses

1) EVANS GROUP FINANCIAL ADVISORS, NOT INVESTMENT-RELATED, 1120 SOUTH MAIN ST., CHESHIRE, CT 06410, LIFE INSURANCE, PROPRIETOR/OWNER, START DATE: 03/01/2011, APPROX. NUMBER OF HOURS/MONTH: LESS THAN 10, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: MORE THAN 10, DUTIES: DUTIES: This Business is for all NON Securities Transactions including Life Insurance Sales, Long Term Care Insurance Sales, and Fixed Annuity Sales. Multiple Insurance Carriers are Used. Please note that ALL Securities Transactions are with My Broker-Dealer, Vanderbilt Securities. 2) CHAIRMAN OF CHESHIRE RETIREMENT BOARD; INVESTMENT RELATED: YES; ADDRESS: 84 SOUTH MAIN STREET CHESHIRE, CONNECTICUT; NATURE OF OBA: TOWN OF CHESHIRE COMMITTEE TO OVERSEE PENSION INVESTMENTS FOR TOWN EMPLOYEES; POSITION, TITLE, RELATIONSHIP: DIRECTOR, CHAIRMAN; START DATE OF OBA: 8/01/2011; # HOURS/MONTH: 10 MONTH; # HRS/MO DURING TRADING: 10 MONTH; DESCRIBE DUTIES: QUARTERLY MEETINGS TO EVALUATE THE INVESTMENT PERFORMANCE OF THE OUTSIDE INVESTMENT ADVISOR EVALUATE RECOMMENDATIONS OF CHANGES TO CURRENT ASSET ALLOCATION. 3) New Novel: "UNDERESTIMATED...What would you do if you knew the truth?". Not investment related. Start date: 09/01/2025. Address: 489 Buckland Drive, Cheshire, CT 06410. Title: Author. Duties: Writer. Time spent during regular hours: 0%.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-15
S63 Uniform Securities Agent State Law Examination 1994-07-20
  • S65 Uniform Investment Adviser Law Examination
    2008-02-15
  • S63 Uniform Securities Agent State Law Examination
    1994-07-20
Other Names
  • Mike Evans

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