Joellen Pastors
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.
Joellen Pastors, who also goes by Jojo Pastors, Pastors, Jojo Pastors, Pastors, was a registered financial professional .
Joellen is a previously registered financial professional and started their career in finance in 2005. Joellen had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 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
August 1, 2023 - August 15, 2025
HORNOR, TOWNSEND & KENT, LLC
August 1, 2023 - August 15, 2025
HORNOR, TOWNSEND & KENT, LLC
August 3, 2022 - April 28, 2023
UBS FINANCIAL SERVICES INC.
August 3, 2022 - April 28, 2023
UBS FINANCIAL SERVICES INC.
January 3, 2022 - January 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 29, 2021 - January 21, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 26, 2009 - June 16, 2015
VALIC FINANCIAL ADVISORS, INC.
June 25, 2009 - June 16, 2015
VALIC FINANCIAL ADVISORS, INC.
June 1, 2009 - July 1, 2009
MORGAN STANLEY
February 9, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 10, 2005 - January 8, 2007
MAPLE SECURITIES U.S.A. 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 7TO
Date: 4/29/2021
General Securities 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.
