Stephen E. Arnold
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.
Stephen Emil Arnold, who also goes by Stephen E Arnold, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2015 - November 18, 2015
HORNOR, TOWNSEND & KENT, LLC
October 9, 2006 - December 22, 2014
NEW ENGLAND SECURITIES
September 29, 2006 - December 22, 2014
NEW ENGLAND SECURITIES
June 22, 2006 - September 15, 2006
SCF INVESTMENT ADVISORS, INC.
May 25, 2006 - September 15, 2006
SCF SECURITIES, INC.
March 5, 2003 - February 14, 2004
MML INVESTORS SERVICES, LLC
June 9, 1999 - January 28, 2003
NEW ENGLAND SECURITIES
March 12, 1997 - April 13, 1999
BA INVESTMENT SERVICES, INC.
March 19, 1993 - March 18, 1997
IDS LIFE INSURANCE COMPANY
March 19, 1993 - March 18, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 1992 - December 22, 1992
LINCOLN FINANCIAL DISTRIBUTORS, 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.
