Roger J. Stalowicz
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.
Roger Joseph Stalowicz was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1973. Roger had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 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
April 19, 2012 - February 12, 2016
HORNOR, TOWNSEND & KENT, LLC
October 4, 2010 - April 11, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
September 2, 2003 - September 8, 2010
OSAIC FS, INC.
September 2, 2003 - September 8, 2010
OSAIC FS, INC.
September 10, 2002 - September 8, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 10, 2002 - September 8, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 19, 2001 - June 24, 2002
1717 CAPITAL MANAGEMENT COMPANY
September 20, 2000 - April 11, 2001
USALLIANZ SECURITIES, INC.
June 24, 1989 - March 9, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
April 30, 1987 - December 23, 1988
FORTH FINANCIAL SECURITIES, CORPORATION
April 18, 1973 - December 19, 1986
G. R. PHELPS & CO., 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
Series 1
Date: 4/12/1973
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.
