Quinn Schaffer
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.
Quinn Schaffer, CFP®, who also goes by Quinn A Schaffer, Quinn A. Schaffer, Quinn Anthony Schaffer, was a registered financial professional .
Quinn is a previously registered financial professional and started their career in finance in 2010. Quinn had worked at 5 firms and has passed the Series 66, SIE 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
Start date: 2017
Experience
March 17, 2021 - May 4, 2021
HORNOR, TOWNSEND & KENT, LLC
March 3, 2021 - May 4, 2021
HORNOR, TOWNSEND & KENT, LLC
September 9, 2016 - April 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2016 - April 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2013 - September 14, 2016
PNC WEALTH MANAGEMENT LLC
August 14, 2013 - September 14, 2016
PNC WEALTH MANAGEMENT LLC
March 7, 2013 - July 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2013 - July 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2011 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2011 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2011 - April 21, 2011
EQUITABLE ADVISORS, LLC
November 11, 2010 - April 21, 2011
EQUITABLE ADVISORS, 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.
