Ali Ebrahimi
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.
Ali Ebrahimi, who also goes by Abdol Hossein Ebrahimi, Abdol Ebrahimi, Ali Ebrahini, Abdol Hossein, was a registered financial professional .
Ali is a previously registered financial professional and started their career in finance in 1984. Ali had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2012 - February 1, 2013
HORNOR, TOWNSEND & KENT, LLC
February 23, 2011 - April 3, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 27, 2006 - December 8, 2010
MSI FINANCIAL SERVICES, INC.
October 19, 2001 - August 13, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 14, 1998 - December 21, 2000
NYLIFE SECURITIES LLC
June 15, 1998 - October 21, 1998
CHASE INVESTMENT SERVICES CORP.
March 6, 1986 - June 2, 1998
PRUCO SECURITIES, LLC.
February 7, 1984 - February 24, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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.
