Kane B. Douthit
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.
Kane Butler Douthit, who also goes by Kane Butler Smith, was a registered financial professional .
Kane is a previously registered financial professional and started their career in finance in 1984. Kane had worked at 10 firms and has passed the Series 63, SIE, Series 22 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
April 13, 2020 - May 3, 2022
HORNOR, TOWNSEND & KENT, LLC
January 4, 2011 - October 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2010 - December 31, 2010
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
February 4, 2009 - April 28, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
April 23, 2003 - February 4, 2009
VP DISTRIBUTORS LLC
November 22, 2000 - May 1, 2003
WS GRIFFITH SECURITIES, INC.
September 24, 1997 - October 23, 2000
KESTRA INVESTMENT SERVICES, LLC
October 4, 1995 - September 30, 1997
WOODBURY FINANCIAL SERVICES, INC.
April 28, 1992 - July 11, 1995
THE CONCORD EQUITY GROUP, LLC
July 26, 1984 - April 1, 1992
TOWER SQUARE 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.
