Donald E. Mandy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Earl Mandy, who also goes by Don Mandy, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2010 - September 24, 2015
HORNOR, TOWNSEND & KENT, LLC
May 15, 2006 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
October 31, 2003 - March 31, 2006
AMERITAS INVESTMENT COMPANY, LLC
December 20, 2000 - October 31, 2003
THE ADVISORS GROUP, INC.
September 26, 1997 - December 31, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
January 14, 1997 - September 26, 1997
CADARET, GRANT & CO., INC.
July 9, 1993 - December 31, 1994
CADARET, GRANT & CO., INC.
July 26, 1991 - December 21, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 26, 1991 - December 21, 1992
SIGNATOR INVESTORS, INC.
September 25, 1989 - December 31, 1990
WS GRIFFITH SECURITIES, INC.
September 25, 1989 - December 31, 1990
HOME LIFE INSURANCE COMPANY
September 24, 1986 - October 23, 1989
MML INVESTORS SERVICES, LLC
January 18, 1985 - September 30, 1986
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
October 31, 1981 - January 23, 1985
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
