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Current Employers
Hornor, Townsend & Kent, Llc

161 Washington Street, Conshohocken, PA 19428 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-04-20
NY RA APPROVED 2021-03-19
  • PA RA
    APPROVED
    Since 2022-04-20
  • NY RA
    APPROVED
    Since 2021-03-19

Branch Locations

161 Washington St Suite 1111, Conshohocken, PA 19428 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hornor, Townsend & Kent, Inc Horsham PA 12/2012 Present
  • 12/2012 → Present
    Hornor, Townsend & Kent, Inc
    Horsham, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-10-29
S63 Uniform Securities Agent State Law Examination 1994-05-17
  • S65 Uniform Investment Adviser Law Examination
    2012-10-29
  • S63 Uniform Securities Agent State Law Examination
    1994-05-17
Other Names
  • Steven Frank Caruso

View on SEC IAPD

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