Robert J. Les
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.
Robert J Les, who also goes by Robert Joseph Les, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 9 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2017 - May 4, 2017
HORNOR, TOWNSEND & KENT, LLC
October 17, 2014 - January 19, 2017
PRUCO SECURITIES, LLC.
October 8, 2014 - January 19, 2017
PRUCO SECURITIES, LLC.
October 16, 2013 - February 18, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 11, 2013 - February 18, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 15, 2010 - October 11, 2013
MORGAN STANLEY
December 15, 2010 - October 11, 2013
MORGAN STANLEY
June 29, 2007 - December 17, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2007 - December 17, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - July 11, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 11, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 1, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1999 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1995 - February 7, 2000
IDS LIFE INSURANCE COMPANY
September 26, 1995 - February 7, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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.
