Mitchell C. Houston
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.
Mitchell Charles Houston, who also goes by Mick Houston, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1987. Mitchell had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2014 - September 1, 2015
HORNOR, TOWNSEND & KENT, LLC
December 6, 2007 - December 16, 2014
VOYA FINANCIAL ADVISORS, INC.
November 29, 2007 - December 16, 2014
VOYA FINANCIAL ADVISORS, INC.
August 10, 2006 - December 3, 2007
MSI FINANCIAL SERVICES, INC.
June 16, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 16, 2006 - December 3, 2007
MSI FINANCIAL SERVICES, INC.
April 30, 2004 - June 12, 2006
CAPITAL SECURITIES INVESTMENT CORPORATION
April 30, 2004 - June 12, 2006
CAPITAL SECURITIES INVESTMENT CORPORATION
October 18, 1999 - May 11, 2004
WS GRIFFITH SECURITIES, INC.
June 7, 1993 - May 11, 2004
WS GRIFFITH SECURITIES, INC.
March 11, 1992 - June 7, 1993
VP DISTRIBUTORS LLC
February 20, 1990 - February 26, 1992
MARINER FINANCIAL SERVICES, INC.
June 6, 1989 - February 20, 1990
LEADERTECH SECURITIES, INC.
May 19, 1988 - November 8, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
October 8, 1987 - December 17, 1987
AMERIPRISE FINANCIAL 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
Series 1
Date: 6/28/1978
Registered 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.
