Mark F. Graham
Professional summary
Mark Francis Graham II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Mark had worked at 8 firms, which includes HORNOR TOWNSEND & KENT LLC, FORESTERS EQUITY SERVICES INC., J.P. TURNER & COMPANY L.L.C., FIRST FOUNDERS SECURITIES INC., STONEX SECURITIES INC., CAPWEST SECURITIES INC., WORLD GROUP SECURITIES INC., WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2010 - July 18, 2013
HORNOR, TOWNSEND & KENT, LLC
August 10, 2009 - October 19, 2010
FORESTERS EQUITY SERVICES, INC.
October 22, 2008 - June 26, 2009
J.P. TURNER & COMPANY, L.L.C.
March 5, 2004 - October 28, 2008
FIRST FOUNDERS SECURITIES, INC.
October 29, 2002 - April 21, 2004
STONEX SECURITIES INC.
May 17, 2002 - September 23, 2002
CAPWEST SECURITIES, INC.
April 12, 2002 - May 10, 2002
WORLD GROUP SECURITIES, INC.
March 24, 1998 - April 12, 2002
WMA SECURITIES, 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
Series 28
Date: 1/13/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
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