Daniel L. Bates
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.
Daniel Lee Bates, who also goes by Dan L Bates, Dan Bates, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 10 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2013 - October 2, 2015
HORNOR, TOWNSEND & KENT, LLC
March 8, 2013 - October 2, 2015
HORNOR, TOWNSEND & KENT, LLC
March 8, 2004 - December 31, 2006
AMERITAS INVESTMENT COMPANY, LLC
January 12, 2004 - December 31, 2006
AMERITAS INVESTMENT COMPANY, LLC
January 13, 2003 - December 16, 2003
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
May 12, 2000 - February 11, 2004
1717 CAPITAL MANAGEMENT COMPANY
May 12, 2000 - February 11, 2004
1717 CAPITAL MANAGEMENT COMPANY
September 17, 1997 - September 10, 1998
GUARDIAN INVESTOR SERVICES LLC
October 7, 1994 - September 19, 1997
BMA FINANCIAL SERVICES, INC.
March 1, 1994 - October 11, 1994
WS GRIFFITH SECURITIES, INC.
December 15, 1993 - October 4, 1994
G. R. PHELPS & CO., INC.
March 3, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 3, 1987 - December 17, 1993
MML INVESTORS SERVICES, LLC
July 20, 1982 - February 4, 1987
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.
