Jerome Butkow
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.
Jerome Butkow was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1984. Jerome had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
November 11, 2013 - August 24, 2017
HORNOR, TOWNSEND & KENT, LLC
May 3, 2013 - August 24, 2017
HORNOR, TOWNSEND & KENT, LLC
March 14, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 14, 2005 - May 6, 2013
MSI FINANCIAL SERVICES, INC.
October 20, 2004 - March 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 21, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 12, 2003 - October 20, 2004
QUICK & REILLY, INC.
March 30, 2000 - May 14, 2003
UBS FINANCIAL SERVICES INC.
March 17, 2000 - May 14, 2003
UBS FINANCIAL SERVICES INC.
March 31, 1994 - March 17, 2000
A. G. EDWARDS & SONS, INC.
April 21, 1993 - April 26, 1994
DAVID LERNER ASSOCIATES, INC.
March 29, 1993 - April 5, 1993
ROYCE INVESTMENT GROUP, INC.
June 19, 1984 - April 8, 1985
COMPASS CAPITAL 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
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.
