Philip J. Raymond
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.
Philip John Raymond JR, who also goes by Phil Raymond Jr, Philip John Raymond, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
January 4, 2008 - October 31, 2014
HORNOR, TOWNSEND & KENT, LLC
January 3, 2008 - October 31, 2014
HORNOR, TOWNSEND & KENT, LLC
April 25, 2005 - April 13, 2006
1717 CAPITAL MANAGEMENT COMPANY
April 22, 2005 - April 13, 2006
1717 CAPITAL MANAGEMENT COMPANY
March 13, 2002 - May 1, 2003
MONY SECURITIES CORPORATION
July 16, 1998 - May 1, 2003
MONY SECURITIES CORPORATION
July 30, 1993 - July 31, 1998
WS GRIFFITH SECURITIES, INC.
December 9, 1982 - December 17, 1991
MML INVESTORS SERVICES, LLC
October 19, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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.
