David P. Martin
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.
David Paul Martin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 9 firms and has passed the Series 66, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2011 - February 24, 2015
HORNOR, TOWNSEND & KENT, LLC
December 6, 2011 - February 24, 2015
HORNOR, TOWNSEND & KENT, LLC
February 22, 2008 - December 15, 2011
MSI FINANCIAL SERVICES, INC.
February 1, 2008 - December 15, 2011
MSI FINANCIAL SERVICES, INC.
January 26, 2006 - January 28, 2008
LPL FINANCIAL LLC
April 16, 2003 - January 28, 2008
LPL FINANCIAL LLC
August 12, 1997 - April 30, 2003
MORGAN KEEGAN & COMPANY, LLC
February 12, 1996 - August 13, 1997
FINANCIAL WEST GROUP
April 20, 1992 - September 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1990 - April 15, 1992
USLIFE EQUITY SALES CORP.
February 1, 1989 - October 2, 1990
ADVANTAGE CAPITAL CORPORATION
October 22, 1987 - February 6, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
January 1, 1972 - October 2, 1990
ADVANTAGE CAPITAL 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
Series 1
Date: 12/27/1971
Registered Representative 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
