Herbert D. Young
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.
Herbert Dewayne Young was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 2004. Herbert had worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2019 - February 3, 2021
HORNOR, TOWNSEND & KENT, LLC
May 15, 2018 - February 3, 2021
HORNOR, TOWNSEND & KENT, LLC
March 10, 2016 - January 5, 2017
COLLATERAL FINANCIAL ADVISORS, LLC
October 16, 2014 - December 2, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 9, 2012 - February 9, 2015
COLLATERAL FINANCIAL ADVISORS, LLC
October 26, 2010 - December 10, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 28, 2010 - April 29, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 22, 2008 - October 2, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 22, 2008 - October 2, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 2004 - April 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2004 - April 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2004 - June 28, 2004
EDWARD JONES
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: 12/22/2022
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.
