Steven Schlegel
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.
Steven Schlegel, who also goes by Steven David Schlegel, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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
March 17, 2026 - June 5, 2026
HORNOR, TOWNSEND & KENT, LLC
March 16, 2026 - June 5, 2026
HORNOR, TOWNSEND & KENT, LLC
July 2, 2024 - March 20, 2026
COMMONWEALTH FINANCIAL NETWORK
July 2, 2024 - March 20, 2026
COMMONWEALTH FINANCIAL NETWORK
February 27, 2024 - July 5, 2024
OSAIC WEALTH, INC.
February 22, 2024 - July 5, 2024
OSAIC WEALTH, INC.
January 15, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
October 31, 2005 - September 18, 2023
OSAIC SERVICES, INC.
October 31, 2005 - September 18, 2023
OSAIC SERVICES, INC.
March 3, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 22, 2004 - October 31, 2005
SPELMAN & CO., INC.
January 22, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
October 15, 2002 - June 3, 2004
LEESPORT WEALTH MANAGEMENT, LLC
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 18, 1992 - May 19, 1992
ANCHOR NATIONAL 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 52TO
Date: 2/22/2024
Municipal Securities 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.
