Roger H. Hamm
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.
Roger Harold Hamm, who also goes by Roger H Hamm, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 2 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
September 1, 2000 - February 5, 2014
HORNOR, TOWNSEND & KENT, LLC
July 27, 2000 - February 5, 2014
HORNOR, TOWNSEND & KENT, LLC
March 17, 1998 - July 25, 2000
PAN-AMERICAN FINANCIAL ADVISERS
May 8, 1996 - August 30, 1996
ILG SECURITIES CORPORATION
October 15, 1993 - April 11, 1995
VOYA FINANCIAL PARTNERS, LLC
November 26, 1991 - April 17, 1995
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 4/25/1974
Non-Member General Securities 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.
