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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)14 years in industry

JOSHUA BAER

Advisor at HORNOR, TOWNSEND & KENT, LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:3ea74b46-39cf-31cf-2f36-18d1a8ce5e28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HORNOR, TOWNSEND & KENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 13, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66
First exam: Apr 13, 2012
First registration: Jan 7, 2013
Dual registered: yes, broker-dealer
Other names: JOSHUA M BAER
IAPD individual key: 5486268

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Mar 19, 2021	n/a	yes	NEW YORK, NY	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 10, 2016	Oct 18, 2018	no	New York, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 10, 2016	Oct 18, 2018	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 14, 2014	Jan 11, 2016	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 7, 2013	Jan 8, 2014	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	HORNOR, TOWNSEND & KENT, LLC	Oct 18, 2018	Mar 19, 2021	883	Firm change after gap	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 18, 2018	Aug 10, 2016	-799	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Jan 11, 2016	Aug 10, 2016	212	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 8, 2014	Jan 14, 2014	6	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: current employment
Mar 19, 2021 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 10, 2016 to Oct 18, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 10, 2016 to Oct 18, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 14, 2014 to Jan 11, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 7, 2013 to Jan 8, 2014factForm ADV

Dated events

No dated event names this entity yet.