Samuel D. Stanley
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.
Samuel Dirk Stanley was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1973. Samuel had worked at 7 firms and has passed the 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
January 7, 2002 - June 5, 2014
HORNOR, TOWNSEND & KENT, LLC
June 29, 1987 - January 16, 2002
VESTAX SECURITIES CORPORATION
July 25, 1983 - July 10, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 9, 1977 - September 9, 1983
ADVANTAGE CAPITAL CORPORATION
August 4, 1975 - November 10, 1977
OSAIC FA, INC.
August 4, 1975 - August 7, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 15, 1973 - August 21, 1975
LINCOLN FINANCIAL DISTRIBUTORS, 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: 2/6/1973
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
