John C. Holcombe
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.
John Christian Holcombe was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 63, SIE, Series 6 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
February 7, 2017 - December 15, 2017
HORNOR, TOWNSEND & KENT, LLC
July 30, 2015 - November 16, 2016
MML INVESTORS SERVICES, LLC
February 12, 2013 - June 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 15, 2010 - March 3, 2011
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
October 19, 2007 - March 9, 2009
MSI FINANCIAL SERVICES, INC.
September 15, 2004 - October 19, 2007
FORESTERS EQUITY SERVICES, INC.
August 2, 2000 - September 8, 2004
MONY SECURITIES CORPORATION
June 2, 1999 - August 31, 2000
NYLIFE SECURITIES LLC
July 21, 1993 - February 16, 1999
METROPOLITAN LIFE INSURANCE COMPANY
July 21, 1993 - February 16, 1999
MSI FINANCIAL SERVICES, 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.
