Michael J. Vicchiarelli
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.
Michael John Vicchiarelli was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2010 - March 22, 2012
HORNOR, TOWNSEND & KENT, LLC
January 4, 2007 - February 25, 2009
QUEST CAPITAL STRATEGIES, INC.
November 22, 2005 - June 23, 2006
PRIME CAPITAL SERVICES, INC.
March 11, 2002 - November 23, 2005
CANTELLA & CO., INC.
October 25, 2000 - March 12, 2002
PRIME CAPITAL SERVICES, INC.
July 19, 1995 - October 23, 2000
CANTELLA & CO., INC.
December 22, 1993 - July 17, 1995
INSTITUTIONAL EQUITY CORPORATION
February 23, 1993 - December 17, 1993
OSAIC WEALTH, INC.
July 29, 1992 - February 23, 1993
RELIASTAR FINANCIAL MARKETING CORP.
May 28, 1992 - July 10, 1992
METROPOLITAN LIFE INSURANCE COMPANY
May 28, 1992 - July 10, 1992
MSI FINANCIAL SERVICES, INC.
January 20, 1992 - April 23, 1992
OSAIC WEALTH, 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.
