Thomas S. Haislop
Professional summary
Thomas Samuel Haislop, who also goes by Tom S Haislop, Tom Haislop, is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in Seneca, South Carolina.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Samuel Haislop's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
HORNOR, TOWNSEND & KENT, LLC
July 9, 2020 - February 7, 2023
PRUCO SECURITIES, LLC.
March 28, 2007 - July 14, 2020
ALLSTATE FINANCIAL SERVICES, LLC
December 4, 2006 - March 21, 2007
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - March 21, 2007
VOYA FINANCIAL ADVISORS, INC.
February 15, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
November 7, 2000 - March 11, 2002
FERRIS, BAKER WATTS, LLC
June 19, 1997 - November 3, 2000
THE O.N. EQUITY SALES COMPANY
January 8, 1997 - February 26, 1997
BANC ONE SECURITIES CORPORATION
April 10, 1995 - December 21, 1995
FIRST UNION CAPITAL MARKETS CORP.
November 22, 1993 - January 11, 1995
MORGAN STANLEY DW 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
(10/11/2024)
(2/6/2023)
(2/6/2023)
(2/6/2023)
(2/6/2023)
(2/6/2023)
(2/6/2023)
Exams
FINRA
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
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