Darin J. Leone
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.
Darin James Leone, AIF®, who also goes by Darin James Leone, Darin J Leone, was a registered financial professional .
Darin is a previously registered financial professional and started their career in finance in 2000. Darin had worked at 9 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2024 - August 28, 2025
HORNOR, TOWNSEND & KENT, LLC
March 5, 2024 - August 28, 2025
HORNOR, TOWNSEND & KENT, LLC
August 9, 2023 - January 10, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 16, 2023 - January 10, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 3, 2022 - May 31, 2023
TWO WEST CAPITAL ADVISORS LLC
February 11, 2010 - August 10, 2021
MANNING & NAPIER ADVISORS, LLC
October 5, 2009 - December 31, 2013
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
October 5, 2009 - August 10, 2021
MANNING & NAPIER INVESTOR SERVICES, INC.
July 21, 2005 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 7, 2005 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 3, 2000 - April 29, 2003
RAYMOND JAMES & ASSOCIATES, INC.
March 10, 2000 - September 13, 2000
SIMMERS CAPITAL MANAGEMENT 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
