Joseph M. Landers
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.
Joseph Mark Landers, who also goes by J Mark Landers, Joseph Landers, Mark Landers, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 55 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
March 23, 2020 - September 16, 2020
HORNOR, TOWNSEND & KENT, LLC
February 25, 2020 - September 16, 2020
HORNOR, TOWNSEND & KENT, LLC
December 24, 2018 - February 27, 2019
PRUCO SECURITIES, LLC.
November 6, 2018 - February 27, 2019
PRUCO SECURITIES, LLC.
June 28, 2018 - September 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2018 - September 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 2, 2016 - July 31, 2017
CETERA INVESTMENT ADVISERS LLC
September 2, 2016 - July 31, 2017
CETERA INVESTMENT SERVICES LLC
July 29, 2015 - February 11, 2016
EQUITY SERVICES, INC.
June 1, 2015 - February 11, 2016
EQUITY SERVICES, INC.
January 15, 2015 - April 27, 2015
HAYDEN ROYAL
July 14, 2014 - December 31, 2014
HAYDEN ROYAL
January 19, 2012 - July 13, 2012
PARK AVENUE SECURITIES LLC
January 12, 2012 - July 13, 2012
PARK AVENUE SECURITIES LLC
August 2, 2010 - December 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 2010 - December 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1992 - February 17, 2009
BANC OF AMERICA SECURITIES LLC
November 21, 1991 - March 2, 1992
NATIONSBANC SECURITIES OF GEORGIA, 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
Series 55
Date: 4/7/2000
Limited Representative-Equity Trader ExamCurrent 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.
