Bobby G. Merchant
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.
Bobby Gene Merchant, who also goes by Bob Merchant, was a registered financial advisor .
Bobby is a previously registered financial advisor and started their career in finance in 1970. Bobby had worked at 24 firms and has passed the Series 63, 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
June 30, 2017 - October 6, 2017
HORNOR, TOWNSEND & KENT, LLC
March 3, 2017 - March 17, 2017
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
June 9, 2015 - June 30, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
May 6, 2013 - May 8, 2015
FSC SECURITIES CORPORATION
February 14, 2013 - May 8, 2015
FSC SECURITIES CORPORATION
August 19, 2011 - September 16, 2011
SAXONY SECURITIES, INC.
May 14, 2004 - September 30, 2010
WESTPARK WEALTH ADVISORS, INC.
September 15, 1999 - December 31, 2004
IMS SECURITIES, INC.
September 15, 1999 - September 30, 2010
IMS SECURITIES, INC.
May 12, 1998 - September 7, 1999
D.E. FREY & COMPANY, INC.
August 31, 1992 - November 4, 1996
METROPOLITAN LIFE INSURANCE COMPANY
August 31, 1992 - November 4, 1996
MSI FINANCIAL SERVICES, INC.
August 8, 1991 - August 10, 1992
WOODBURY FINANCIAL SERVICES, INC.
April 19, 1991 - September 3, 1991
SECURITIES MANAGEMENT & RESEARCH, INC.
January 12, 1990 - May 20, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 12, 1990 - May 20, 1991
PRUCO SECURITIES, LLC.
August 9, 1988 - January 1, 1990
WALNUT STREET SECURITIES, INC.
December 9, 1986 - July 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 1986 - October 10, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 8, 1986 - December 20, 1986
H. KERR TAYLOR & COMPANY, INC.
August 8, 1985 - October 14, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
January 25, 1984 - August 6, 1985
SOUTHMARK FINANCIAL SERVICES, INC.
February 11, 1982 - August 15, 1985
TOWER SQUARE SECURITIES, INC.
October 14, 1980 - July 6, 1982
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 14, 1980 - July 6, 1982
SIGNATOR INVESTORS, INC.
January 22, 1979 - May 2, 1980
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 1976 - March 17, 1979
LINCOLN EQUITIES CORPORATION
January 14, 1970 - February 26, 1976
METROPOLITAN LIFE INSURANCE COMPANY
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: 1/9/1970
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.
