John C. Foor
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.
John Carl Foor was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2003 - November 4, 2008
HORNOR, TOWNSEND & KENT, LLC
March 12, 2001 - June 26, 2003
WADDELL & REED
September 20, 1990 - January 26, 2001
CETERA ADVISORS LLC
April 2, 1990 - August 20, 1990
HILLCREST SECURITIES, INC.
June 28, 1989 - February 24, 1990
NATIONAL CAPITAL SECURITIES CORPORATION
September 15, 1988 - May 5, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
August 6, 1985 - June 29, 1988
ADVANTAGE CAPITAL CORPORATION
May 3, 1985 - August 8, 1985
AMERICAN GENERAL SECURITIES INCORPORATED
February 27, 1985 - August 19, 1985
CPC SECURITIES CORPORATION
March 8, 1972 - December 10, 1984
METROPOLITAN LIFE INSURANCE COMPANY
March 8, 1972 - December 20, 1984
MSI 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
Series 1
Date: 2/3/1972
Registered Representative ExaminationCurrent 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.
