Otto M. Bruun
Professional summary
Otto Martin Bruun was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Otto is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Otto had worked at 6 firms, which includes HORNOR TOWNSEND & KENT LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., SIGNATOR FINANCIAL SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, WOODBURY FINANCIAL SERVICES INC..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1994 - August 29, 1997
HORNOR, TOWNSEND & KENT, LLC
February 25, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 25, 1992 - July 22, 1994
PRUCO SECURITIES, LLC.
September 20, 1991 - February 1, 1992
SIGNATOR FINANCIAL SERVICES, INC.
December 11, 1989 - April 2, 1991
SIGNATOR FINANCIAL SERVICES, INC.
July 31, 1987 - October 30, 1989
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 1, 1986 - July 16, 1987
WOODBURY FINANCIAL SERVICES, 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.
