Joe S. Ornelas
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.
Joe Samora Ornelas, who also goes by J J Ornelas, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1988. Joe had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2003 - December 31, 2003
HORNOR, TOWNSEND & KENT, LLC
February 7, 1995 - October 16, 2003
HORNOR, TOWNSEND & KENT, LLC
March 8, 1994 - January 17, 1995
HAMILTON FAIRCHILD SECURITIES CORPORATION
August 16, 1991 - January 6, 1994
TITAN/VALUE EQUITIES GROUP, INC.
October 24, 1990 - August 16, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 7, 1989 - October 24, 1990
TITAN/VALUE EQUITIES GROUP, INC.
August 18, 1988 - November 7, 1989
VALUE EQUITIES CORPORATION
July 14, 1988 - August 23, 1988
INDEPENDENT INVESTMENT BROKERS OF AMERICA
May 25, 1988 - July 19, 1988
FITZGERALD, TALMAN, 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.
