VT
Vincent J. Tosco
HORNOR, TOWNSEND & KENT
Greensboro, NC 27455
Some features on this profile are disabled
CRD#: 1045965
VT
Professional summary
Vincent James Tosco III, who also goes by Jim Tosco, VIncent James III Tosco, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Greensboro, North Carolina.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Vincent has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Tosco | Vincent James Iii Tosco
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)NAVIGON FINANCIAL GROUP, INC., INVESTMENT-RELATED, 3816 NORTH ELM STREET, STE. A, GREENSBORO, NC 27455, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, AGENT, START DATE: MAY/2007, APPROX. NUMBER OF HOURS/MONTH: 40 PLUS, NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 40 PLUS, DUTIES: SALES AND SERVICE OF INVESTMENTS, LIFE, ANNUITIES AND HEALTH INSURANCE PRODUCTS. 2) RENDLEMEN COMPANIES | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: INDEPENDENT CONTRACTOR | ADDRESS: 600 GREEN VALLEY ROAD, GREENSBORO, NC 27408 | START DATE: 10/1/2001 | NATURE OF ACTIVITY: CONTINUING EDUCATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: MAY TEACH 4 TO 8 CLASSES OF CONTINUING EDUCATION A YEAR FROM OCTOBER TO DECEMBER. 3) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 221B ADVISORY SERVICES, LLC | POSITION HELD: AGENT | ADDRESS: 3816 N. ELM STREET SUITE A GREENSBORO, NC 27455 | START DATE: 8/1/2017 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 26-40 HRS | APPROX TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 4) INSURANCE BROKERAGE | DBA: Elevate Financial Group | POSITION: Split business | NATURE: Life Insurance brokerage | INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 09/20/2024 | ADDRESS: 3816-A N Elm Street, Greensboro NC 27455 | DESCRIPTION: Insurance and Investment Service including planning, selling and managing.
CRS (Client Relationship Summary) - RIA
Click below to view Vincent James Tosco III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vincent James Tosco III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 18, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 3816 North Elm Street Suite A, Greensboro, NC 27455Office #2: 210 Mulberry St Sw, Lenoir, NC 28645Office #3: 21 Sunrise Ave, Lexington, NC 27292RIA
BD
CRD#: 4031
Greensboro, NC
Current
May 18, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 3816 North Elm Street Suite A, Greensboro, NC 27455Office #2: 21 Sunrise Ave, Lexington, NC 27292RIA
BD
CRD#: 4031
Greensboro, NC
Past
December 31, 2001 - May 15, 2007
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
GREENSBORO, NC
Past
January 8, 1992 - May 15, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
GREENSBORO, NC
Past
January 27, 1986 - December 13, 1991
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
January 5, 1984 - January 24, 1986
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
Past
May 13, 1982 - December 13, 1991
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/30/2020)
RR
California(2/27/2008)
RR
Colorado(3/20/2019)
RR
Connecticut(10/28/2019)
RR
Florida(5/18/2007)
RR
Georgia(5/18/2007)
RR
Indiana(11/5/2021)
RR
Maryland(5/22/2007)
RR
Massachusetts(3/2/2017)
RR
Michigan(7/25/2016)
RR
Minnesota(5/4/2018)
RR
Missouri(10/23/2013)
RR
New Jersey(5/18/2007)
RR
New York(5/18/2007)
RR
North Carolina(5/18/2007)
IAR
North Carolina(5/18/2007)
RR
Ohio(5/21/2007)
RR
Pennsylvania(5/18/2007)
RR
South Carolina(5/18/2007)
RR
Tennessee(5/18/2007)
RR
Texas(5/18/2007)
IAR
Texas(3/17/2008)
RR
Vermont(11/2/2017)
RR
Virginia(5/18/2007)
RR
Washington(10/6/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Mailing Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Phone number
(215) 957-7300
Established
Delaware since 09/09/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
442
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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Greensboro, NC 27455TRUST BUT VERIFY
Monitor Vincent Tosco
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
