Roy R. Levine
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.
Roy Raymond Levine JR, who also goes by Roy Raymond Jr Levine, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1998. Roy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2016 - June 30, 2017
HORNOR, TOWNSEND & KENT, LLC
October 1, 2015 - June 30, 2017
HORNOR, TOWNSEND & KENT, LLC
March 24, 2015 - August 17, 2015
PRUCO SECURITIES, LLC.
April 28, 2014 - August 17, 2015
PRUCO SECURITIES, LLC.
April 3, 2013 - March 25, 2014
MSI FINANCIAL SERVICES, INC.
March 16, 2010 - March 8, 2013
OSAIC FS, INC.
March 3, 2010 - March 8, 2013
OSAIC FS, INC.
October 25, 1999 - January 27, 2010
MSI FINANCIAL SERVICES, INC.
October 25, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 25, 1999 - January 27, 2010
MSI FINANCIAL SERVICES, INC.
December 18, 1998 - October 8, 1999
MONY SECURITIES CORPORATION
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.
