Allen W. Keller
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.
Allen William Keller, who also goes by Allen W Keller, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 2014. Allen had worked at 11 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 52, Series 31, Series 7, Series 14, Series 4 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
January 24, 2024 - April 27, 2026
HORNOR, TOWNSEND & KENT, LLC
January 23, 2024 - April 27, 2026
HORNOR, TOWNSEND & KENT, LLC
August 31, 2021 - January 23, 2024
G. A. REPPLE & COMPANY
July 30, 2021 - January 23, 2024
G. A. REPPLE & COMPANY
September 13, 2019 - December 31, 2019
AMERICAN ADVISORY NETWORK, LLC
September 9, 2019 - December 22, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 5, 2019 - December 22, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 11, 2018 - April 1, 2019
CALTON & ASSOCIATES, INC.
April 9, 2018 - April 1, 2019
CALTON & ASSOCIATES, INC.
June 19, 2017 - April 16, 2018
LPL FINANCIAL LLC
June 16, 2017 - April 16, 2018
INDEPENDENT FINANCIAL PARTNERS
October 2, 2015 - June 8, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 30, 2015 - June 8, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 17, 2014 - September 15, 2015
USAA FINANCIAL PLANNING SERVICES
April 25, 2014 - September 15, 2015
USAA FINANCIAL ADVISORS, 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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent 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.
