Carlos M. Musibay
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.
Carlos Miguel Musibay was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1982. Carlos had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2009 - February 13, 2013
HORNOR, TOWNSEND & KENT, LLC
April 8, 2009 - February 13, 2013
HORNOR, TOWNSEND & KENT, LLC
May 30, 2008 - April 14, 2009
FIRST ALLIED SECURITIES, INC.
January 8, 2007 - April 16, 2009
FIRST ALLIED ADVISORY SERVICES, INC.
August 3, 2005 - January 1, 2007
FFP ADVISORY SERVICES INC
August 1, 2005 - May 30, 2008
FFP SECURITIES, INC.
November 17, 2003 - August 10, 2005
SIGNATOR INVESTORS, INC.
February 28, 2003 - August 10, 2005
SIGNATOR INVESTORS, INC.
March 29, 2001 - March 28, 2003
EQUITABLE ADVISORS, LLC
April 16, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 16, 1982 - March 28, 2003
EQUITABLE ADVISORS, LLC
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.
