Alex R. Maicks
Professional summary
Alex Ryan Maicks, who also goes by Alex Ryan Maicks, Alex Maicks, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Massillon, Ohio.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Alex has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alex Ryan Maicks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alex Ryan Maicks's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2022 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #2: 161 Washington St Suite 1111, Conshohocken, PA 19428June 8, 2022 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington St Suite 1111, Conshohocken, PA 19428June 3, 2021 - June 16, 2022
KEY INVESTMENT SERVICES LLC
June 2, 2021 - June 16, 2022
KEY INVESTMENT SERVICES LLC
August 7, 2020 - May 24, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2020 - May 24, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2016 - July 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2016 - July 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2016 - October 11, 2016
U.S. BANCORP INVESTMENTS, INC.
October 28, 2015 - March 1, 2016
PNC WEALTH MANAGEMENT LLC
October 8, 2015 - March 1, 2016
PNC WEALTH MANAGEMENT LLC
October 10, 2014 - September 17, 2015
THE HUNTINGTON INVESTMENT COMPANY
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
(6/9/2022)
(3/5/2024)
(6/8/2022)
(6/9/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 7/16/2021
Municipal Securities Representative ExaminationFINRA
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.
