Brian K. Marsh
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.
Brian Keith Marsh, who also goes by Brian Marsh, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2005. Brian had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2014 - August 27, 2015
HORNOR, TOWNSEND & KENT, LLC
November 30, 2012 - April 10, 2014
SANTANDER SECURITIES LLC
November 30, 2012 - April 10, 2014
SANTANDER SECURITIES LLC
September 12, 2012 - November 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2012 - November 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2010 - August 14, 2012
PARK AVENUE SECURITIES LLC
February 3, 2010 - August 14, 2012
PARK AVENUE SECURITIES LLC
May 8, 2008 - January 15, 2010
EQUITABLE ADVISORS, LLC
March 5, 2008 - January 15, 2010
EQUITABLE ADVISORS, LLC
September 27, 2006 - December 17, 2007
PNC WEALTH MANAGEMENT LLC
May 3, 2005 - March 30, 2006
WELLS FARGO CLEARING SERVICES, LLC
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.
