Steven A. Rasmussen
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.
Steven Albert Rasmussen was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 8 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2011 - April 5, 2012
HORNOR, TOWNSEND & KENT, LLC
March 10, 2011 - April 5, 2012
HORNOR, TOWNSEND & KENT, LLC
November 2, 2009 - January 31, 2011
MML INVESTORS SERVICES, LLC
October 30, 2009 - January 31, 2011
MML INVESTORS SERVICES, LLC
October 15, 2007 - September 29, 2009
INSPHERE SECURITIES, INC.
September 5, 2007 - September 29, 2009
INSPHERE SECURITIES, INC.
September 27, 2001 - December 31, 2005
THE LEADERS GROUP, INC.
April 12, 2000 - October 7, 2004
HORNOR, TOWNSEND & KENT, LLC
August 20, 1997 - January 7, 2000
THE ADVISORS GROUP, INC.
October 2, 1991 - August 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 12, 1986 - June 5, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1983 - December 21, 1987
FPI SECURITIES, 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.
