Frank J. Conte
Professional summary
Frank Joseph Conte was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Frank had worked at 7 firms, which includes HORNOR TOWNSEND & KENT LLC, 1717 CAPITAL MANAGEMENT COMPANY, WS GRIFFITH SECURITIES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., MONY SECURITIES CORPORATION, THE ADVISORS GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2002 - May 2, 2005
HORNOR, TOWNSEND & KENT, LLC
August 11, 1997 - January 17, 2002
1717 CAPITAL MANAGEMENT COMPANY
October 15, 1996 - July 8, 1997
WS GRIFFITH SECURITIES, INC.
June 10, 1992 - September 16, 1996
1717 CAPITAL MANAGEMENT COMPANY
March 27, 1992 - June 27, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 27, 1992 - June 27, 1992
SIGNATOR INVESTORS, INC.
May 30, 1989 - January 20, 1992
1717 CAPITAL MANAGEMENT COMPANY
February 5, 1986 - March 28, 1989
MONY SECURITIES CORPORATION
August 13, 1985 - March 24, 1986
THE ADVISORS GROUP, 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.
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