Harry N. Harelik
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.
Harry Nelson Harelik was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1985. Harry had worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2016 - May 2, 2017
HORNOR, TOWNSEND & KENT, LLC
May 23, 2014 - June 3, 2016
PAULSON INVESTMENT COMPANY LLC
April 22, 2008 - April 1, 2014
PORTSMOUTH FINANCIAL SERVICES
April 21, 2008 - April 1, 2014
PORTSMOUTH FINANCIAL SERVICES
May 3, 2007 - April 24, 2008
M.L. STERN & CO., LLC.
March 22, 2007 - April 24, 2008
M.L. STERN & CO., LLC.
September 15, 2005 - April 2, 2007
REDWOOD SECURITIES GROUP, INC.
March 24, 2005 - August 31, 2005
AMERICA NORTHCOAST SECURITIES, INC.
November 23, 2004 - January 7, 2005
M. S. HOWELLS & CO.
August 5, 2002 - November 1, 2004
MOORS & CABOT, INC.
May 16, 2002 - August 21, 2002
HOTOVEC, POMERANZ & CO., LLC
October 18, 1999 - May 16, 2002
PACIFIC GROWTH EQUITIES, LLC
May 11, 1998 - July 21, 1998
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1997 - October 6, 1999
HILLTOP SECURITIES INC.
March 29, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
April 25, 1995 - April 9, 1996
WILLIAMS MACKAY JORDAN & CO., INCORPORATED
April 3, 1992 - March 29, 1995
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1991 - February 25, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
October 5, 1990 - March 14, 1991
WELLS FARGO CLEARING SERVICES, LLC
May 2, 1990 - September 4, 1990
CANTOR FITZGERALD & CO.
January 25, 1990 - May 10, 1990
FINANCIAL SQUARE PARTNERS
June 22, 1987 - February 5, 1990
CIBC WORLD MARKETS CORP.
July 24, 1985 - July 13, 1987
RAUSCHER PIERCE REFSNES, INC.
March 19, 1985 - July 22, 1985
ROTAN MOSLE 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.
