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Detailed Report
MARSHALL MAYER SHIGON
CRD#: 2132927
IA
Investment Adviser
B
Broker
HORNOR, TOWNSEND & KENT, LLCCRD#: 4031 161 WASHINGTON STREET
FLOOR 11, SUITE 1111
CONSHOHOCKEN, PA 19428
Registration History
19952000200520102015202020252 FIRMS1992 - 1992 (<1 year)2 FIRMS2013 - 2018 (4 years)2 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - Present (6 years)BNEW ENGLAND SECURITIES (CRD# 615)2001 - 2013 (12 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1992 - 2001 (8 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2002 - 2013 (11 years)
Disclosure(s)
View By:
12/28/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/5/2022
B
New Jersey 6/18/2018
B
Delaware 7/23/2021
B
Pennsylvania 6/18/2018
B
Florida 5/21/2019
IA
Pennsylvania 7/30/2018
B
Montana 4/29/2021
B
South Carolina 6/3/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HORNOR, TOWNSEND & KENT, LLC (CRD#:4031)
161 WASHINGTON STREET FLOOR 11, SUITE 1111, CONSHOHOCKEN, PA 19428
Registered with this firm since 7/30/2018
B
HORNOR, TOWNSEND & KENT, LLC (CRD#:4031)
161 WASHINGTON STREET FLOOR 11, SUITE 1111, CONSHOHOCKEN, PA 19428
Registered with this firm since 6/18/2018
Previous Registration(s)
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IA
 04/03/2018 - 06/22/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) BALA CYNWYD, PA
B
 02/15/2018 - 06/22/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) BALA CYNWYD, PA
IA
 12/16/2013 - 02/16/2018 SPC (CRD#:110692) Blue Bell, PA
B
 12/16/2013 - 02/16/2018 PARKLAND SECURITIES, LLC (CRD#:115368) Blue Bell, PA
IA
 07/24/2002 - 12/20/2013 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) NEWTOWN SQUARE, PA
B
 07/17/2001 - 12/20/2013 NEW ENGLAND SECURITIES (CRD#:615) NEWTOWN SQUARE, PA
B
 12/23/1992 - 07/03/2001 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 03/09/1992 - 11/06/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 03/09/1992 - 11/06/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.