Rick D. Bailey
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.
Rick Darren Bailey, who also goes by Rick D Bailey, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2001. Rick had worked at 6 firms and has passed the Series 66, Series 65, 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
December 20, 2012 - January 31, 2013
HORNOR, TOWNSEND & KENT, LLC
March 21, 2007 - July 24, 2007
HORNOR, TOWNSEND & KENT, LLC
October 14, 2003 - September 23, 2005
HORNOR, TOWNSEND & KENT, LLC
September 29, 2003 - July 24, 2007
HORNOR, TOWNSEND & KENT, LLC
May 28, 2002 - October 2, 2003
METROPOLITAN FINANCIAL SERVICES, INC.
May 28, 2002 - October 2, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
February 27, 2002 - May 29, 2002
QA3 FINANCIAL CORP.
July 13, 2001 - April 1, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 13, 2001 - April 1, 2002
OSAIC FA, 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.
