Steve T. Gasaway
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.
Steve Tyson Gasaway was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1996. Steve had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2012 - January 24, 2013
HORNOR, TOWNSEND & KENT, LLC
June 12, 2012 - January 24, 2013
HORNOR, TOWNSEND & KENT, LLC
October 22, 2009 - March 17, 2011
VALIC FINANCIAL ADVISORS, INC.
October 5, 2009 - March 17, 2011
VALIC FINANCIAL ADVISORS, INC.
August 3, 2007 - May 28, 2009
SECURIAN FINANCIAL SERVICES, INC.
July 24, 2006 - May 28, 2009
SECURIAN FINANCIAL SERVICES, INC.
October 1, 2004 - June 20, 2006
ATLAS SECURITIES, LLC
September 4, 2002 - May 13, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 4, 2002 - May 13, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 28, 2001 - August 9, 2002
WAMU INVESTMENTS, INC.
June 13, 1996 - August 24, 2001
AMERIPRISE ADVISOR SERVICES, 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.
