Richard E. Nolan
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.
Richard Elmore Nolan JR, who also goes by Richard E Nolan, Richard Elmore Nolan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 7 firms and has passed the 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
July 15, 2016 - February 3, 2017
HORNOR, TOWNSEND & KENT, LLC
June 8, 2016 - February 3, 2017
HORNOR, TOWNSEND & KENT, LLC
December 11, 2015 - April 7, 2016
PRINCIPAL SECURITIES, INC.
November 30, 2015 - April 7, 2016
PRINCIPAL SECURITIES, INC.
August 3, 2015 - November 19, 2015
APW CAPITAL, INC.
July 25, 2012 - April 2, 2015
HORNOR, TOWNSEND & KENT, LLC
November 4, 2011 - April 2, 2015
HORNOR, TOWNSEND & KENT, LLC
March 18, 2010 - September 19, 2011
PARK AVENUE SECURITIES LLC
April 30, 2009 - September 19, 2011
PARK AVENUE SECURITIES LLC
August 13, 2002 - April 29, 2009
NEW ENGLAND SECURITIES
July 22, 1985 - April 29, 2009
NEW ENGLAND SECURITIES
December 7, 1982 - June 21, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 7, 1982 - June 21, 1985
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.
