Cynthia L. Block-taylor
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.
Cynthia Louise Block-taylor, who also goes by Cindy Block-taylor, Cynthia L. Block-taylor, Cynthia Louise Blocktaylor, Cynthia Block Taylor, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1993. Cynthia had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
August 22, 2017 - September 14, 2017
HORNOR, TOWNSEND & KENT, LLC
March 25, 2017 - December 31, 2024
MML INVESTORS SERVICES, LLC
March 25, 2017 - December 31, 2024
MML INVESTORS SERVICES, LLC
November 14, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
November 14, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
June 1, 2005 - November 19, 2014
EQUITABLE ADVISORS, LLC
June 1, 2005 - November 19, 2014
EQUITABLE ADVISORS, LLC
December 31, 2001 - June 1, 2005
MONY SECURITIES CORPORATION
July 11, 2001 - June 1, 2005
MONY SECURITIES CORPORATION
September 4, 1996 - July 10, 2001
FFP SECURITIES, INC.
February 24, 1993 - September 6, 1996
CAPITAL INVESTMENT GROUP, 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.
