John R. Mclean
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 Raymond Mclean, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6, Series 22, 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
September 5, 2012 - January 25, 2021
HORNOR, TOWNSEND & KENT, LLC
January 4, 2005 - June 11, 2012
PACIFIC SELECT DISTRIBUTORS, LLC
January 16, 2003 - December 31, 2004
MUTUAL SERVICE CORPORATION
September 22, 1997 - March 13, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
October 4, 1995 - November 11, 1997
MUTUAL SERVICE CORPORATION
January 5, 1995 - October 2, 1995
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 4, 1994 - December 31, 1994
MUTUAL SERVICE CORPORATION
March 11, 1987 - July 2, 1992
JOHN HANCOCK DISTRIBUTORS LLC
April 26, 1983 - April 1, 1985
BRETCOURT SECURITIES CORPORATION
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
Series 7TO
Date: 3/7/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/7/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 3/7/2024
Operations Professional ExaminationCurrent 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.
