Andrew F. Davis
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.
Andrew Franklin Davis, who also goes by Andrew F Davis, Andy Davis, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 11 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1996 - December 16, 1997
HORNOR, TOWNSEND & KENT, LLC
February 23, 1996 - April 25, 1996
ARAGON FINANCIAL SERVICES, INC.
January 7, 1993 - March 1, 1994
WOODBURY FINANCIAL SERVICES, INC.
August 17, 1990 - December 17, 1992
PRINCIPAL SECURITIES, INC.
May 18, 1990 - June 26, 1990
UBS FINANCIAL SERVICES INC.
March 27, 1989 - February 6, 1990
CINCINNATI ANALYSTS, INC.
July 11, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 11, 1988 - February 6, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 11, 1988 - February 6, 1989
OSAIC FA, INC.
March 21, 1988 - May 13, 1988
PRUCO SECURITIES, LLC.
March 21, 1988 - May 16, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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.
