Raymond R. Naclerio
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.
Raymond Richard Naclerio was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 16 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
February 24, 2012 - June 17, 2013
HORNOR, TOWNSEND & KENT, LLC
March 25, 2011 - February 27, 2012
MML INVESTORS SERVICES, LLC
March 27, 2008 - March 23, 2009
PRINCIPAL SECURITIES, INC.
August 28, 2006 - May 17, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 28, 2006 - May 17, 2007
MSI FINANCIAL SERVICES, INC.
October 18, 2005 - August 4, 2006
1ST DISCOUNT BROKERAGE, INC.
January 10, 2003 - October 24, 2003
MONY SECURITIES CORPORATION
April 19, 1999 - December 31, 2002
WALL STREET FINANCIAL GROUP, INC.
January 16, 1998 - January 4, 1999
MORGAN STANLEY DW INC.
April 29, 1993 - December 1, 1997
PRIME CAPITAL SERVICES, INC.
February 5, 1993 - March 24, 1993
PRIME CAPITAL SERVICES, INC.
June 27, 1990 - March 15, 1991
FORESTERS FINANCIAL SERVICES, INC.
July 13, 1989 - December 20, 1989
GUARDIAN INVESTOR SERVICES LLC
April 25, 1988 - July 20, 1989
G. R. PHELPS & CO., INC.
November 27, 1987 - March 24, 1988
SIGNATOR INVESTORS, INC.
February 25, 1987 - December 1, 1987
G. R. PHELPS & CO., INC.
November 24, 1986 - March 25, 1987
USLIFE EQUITY SALES CORP.
November 12, 1986 - March 23, 1987
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
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.
