John L. Fair
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.
John Louis Fair JR, who also goes by John Louis Fair Jr., John Louis Fair, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2014 - October 22, 2015
HORNOR, TOWNSEND & KENT, LLC
August 25, 2014 - October 22, 2015
HORNOR, TOWNSEND & KENT, LLC
June 4, 2013 - September 5, 2014
CITIGROUP GLOBAL MARKETS INC.
June 4, 2013 - September 5, 2014
CITIGROUP GLOBAL MARKETS INC.
May 31, 2011 - May 2, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 23, 2011 - May 2, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 21, 2010 - May 9, 2011
CHASE INVESTMENT SERVICES CORP.
July 14, 2010 - May 9, 2011
CHASE INVESTMENT SERVICES CORP.
June 25, 2007 - July 23, 2010
EQUITABLE ADVISORS, LLC
June 11, 2007 - July 23, 2010
EQUITABLE ADVISORS, LLC
September 20, 2000 - June 22, 2007
1717 CAPITAL MANAGEMENT COMPANY
September 15, 2000 - June 22, 2007
1717 CAPITAL MANAGEMENT COMPANY
September 13, 2000 - November 9, 2001
OSAIC WEALTH, INC.
June 24, 1999 - July 26, 2000
CITIGROUP GLOBAL MARKETS 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.
