Carolyn Humphrey

Current Employers

Hornor, Townsend & Kent, Llc

161 Washington Street, Conshohocken, PA 19428 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-10-25
DE	RA	APPROVED	2007-08-08

TX RA
APPROVED_RES

Since 2024-10-25
DE RA
APPROVED

Since 2007-08-08

Branch Locations

Newark, DE • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Hornor Townsend And Kent, Inc	Wilmington	DE	06/2006	Present

06/2006 → Present

Hornor Townsend And Kent, Inc

Wilmington, DE

Other Businesses

1)ROCKWELL ASSOCIATES, INVESTMENT-RELATED, 9 HIDDEN VALLEY DRIVE, NEWARK, DE 19711, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, REGISTERED REPRESENTATIVE, START DATE: 02/01/2007, APPROX. NUMBER OF HOURS/MONTH: 40-60, APPROX. NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 40-60, DUTIES: INVESTMENTS AND LIFE INSURANCE SALES. 2) LEAP TRAINER | INVESTMENT RELATED - NO | DBA NAME: N/A | POSITION HELD: EMPLOYEE | ADDRESS: 9 HIDDEN VALLEY DRIVE NEWARK DE 19711 | START DT: 2/16/2016 | NATURE OF ACTIVITY: RETAIL SALESLEAP TRAINER | APPROX HRS PER MTH: LESS THAN 10 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 HRS | DESCRIPTION OF DUTIES: VIA WEB MEETINGS AND PHONE CALLS TRAIN FINANCIAL ADVISORS WHO ARE LOOKING FOR ONE ON ONE HELP LEARNING THE LEAP PROCESS AND SOFTWARE PROGRAMS. 3) INSURANCE & INVESTMENTS | INVESTMENT RELATED: YES | DBA NAME: EMPOWERED FINANCIAL STRATEGIES | POSITION HELD: AGENT | ADDRESS: 9 HIDDEN VALLEY DRIVE, NEWARK, DE 19711 | START DATE: 1/1/2021 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS |DESCRIPTION OF DUTIES: LIFE INSURANCE BROKERAGE, DISABILITY INSURANCE BROKERAGE, LONG TERM CARE INSURANCE BROKERAGE, INVESTMENT SERVICES, FINANCIAL PLANNING SERVICES INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS,INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 4) AMERICAN COLLEGE ALUMNI ADVISORY BOARD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: BOARD MEMBER | ADDRESS: 630 ALLENDALE RD SUITE 400 KING OF PRUSSIA PA 19406. | START DATE: 1/1/2022 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS RECEIVE CALLS. ATTEND AMERICAN COLLEGE EVENTS, PROMOTE AND PROVIDE FEEDBACK ON COLLEGE INITIATIVES. ADDITIONALLY, PROVIDE PHILANTHROPIC SUPPORT TO THE COLLEGE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-08-07
S63	Uniform Securities Agent State Law Examination	2006-06-20

S65 Uniform Investment Adviser Law Examination

2007-08-07
S63 Uniform Securities Agent State Law Examination

2006-06-20

Other Names

Carolyn Ann Smith

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