Mark F. Graham
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.
Mark Francis Graham was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1983. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6, 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
June 22, 2011 - May 17, 2013
HORNOR, TOWNSEND & KENT, LLC
October 7, 2008 - July 17, 2009
J.P. TURNER & COMPANY, L.L.C.
November 21, 2006 - April 23, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 5, 2004 - November 7, 2008
FIRST FOUNDERS SECURITIES, INC.
September 3, 2003 - March 19, 2008
FIRST FOUNDERS ADVISORY GROUP, INC.
September 18, 2002 - April 21, 2004
STONEX SECURITIES INC.
June 21, 2002 - September 26, 2002
CAPWEST SECURITIES, INC.
February 22, 2002 - June 11, 2002
LOCUST STREET SECURITIES, INC.
May 12, 1994 - February 11, 2002
WMA SECURITIES, INC.
July 15, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 1, 1983 - July 28, 1992
PFS INVESTMENTS 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.
