Kenneth D. Jones
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.
Kenneth Dean Jones, who also goes by Ken Jones, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1994. Kenneth had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2022 - December 1, 2023
HORNOR, TOWNSEND & KENT, LLC
October 25, 2022 - December 1, 2023
HORNOR, TOWNSEND & KENT, LLC
July 9, 2021 - May 6, 2022
STRATOS WEALTH PARTNERS, LTD
July 8, 2021 - June 6, 2022
LPL FINANCIAL LLC
April 12, 2021 - July 15, 2021
LAKE POINT WEALTH MANAGEMENT, LLC
June 15, 2018 - February 6, 2020
MML INVESTORS SERVICES, LLC
January 22, 2014 - September 22, 2014
TD AMERITRADE, INC.
January 22, 2014 - September 22, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 22, 2014 - September 22, 2014
TD AMERITRADE, INC.
November 8, 2003 - September 5, 2012
KESTRA INVESTMENT SERVICES, LLC
November 8, 2003 - September 5, 2012
KESTRA INVESTMENT SERVICES, LLC
June 12, 2002 - July 14, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 12, 2000 - July 14, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 6, 1999 - September 6, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 8, 1999 - September 5, 2000
WELLS FARGO SECURITIES INC.
August 17, 1998 - June 17, 1999
RBC CAPITAL MARKETS, LLC
August 16, 1996 - August 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1995 - August 23, 1996
NATIONAL CLEARING CORP.
December 8, 1994 - August 17, 1995
AMERIPRISE ADVISOR SERVICES, INC.
August 19, 1994 - December 5, 1994
CITISTREET EQUITIES LLC
February 21, 1994 - August 16, 1994
USAA INVESTMENT SERVICES COMPANY
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.
