JR
James W. Rogers
HORNOR, TOWNSEND & KENT
EXTON, PA 19341
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CRD#: 1052635
JR
Professional summary
James William Rogers is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Exton, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) INSURANCE BROKERAGE - DBA: KEYSTONE FINANCIAL GROUP, INVESTMENT-RELATED, 203 EXTON COMMONS EXTON PA 19341, INSURANCE SALES AND SERVICE, OWNER, START DATE: 01/10/1975, APPROXIMATE NUMBER OF HOURS/MONTH: MORE THAN 40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: MORE THAN 40, DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2)RENTAL PROPERTIES, NOT INVESTMENT-RELATED, 305 EXTON COMMONS, EXTON, PA 19341-306 EXTON COMMONS, EXTON, PA 19341, COMMERCIAL AND RESIDENTIAL RENTAL PROPERTIES, OWNER, START DATE: 01/01/1977, APPROX. NUMBER OF HOURS/MONTH: LESS THAN 10, APPROX. NUMBER OF HOURS/MONTH DURING SECURITIES TRADING HOURS: LESS THAN 10, DUTIES: RECEIVING RENTAL INCOME FROM RENTAL MANAGERS NET OF EXPENSES.
CRS (Client Relationship Summary) - RIA
Click below to view James William Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James William Rogers'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
July 19, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 203 Exton Commons, Exton, PA 19341RIA
BD
CRD#: 4031
EXTON, PA
Current
June 30, 1988 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 203 Exton Commons, Exton, PA 19341RIA
BD
CRD#: 4031
EXTON, PA
Past
May 4, 1983 - July 5, 1988
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Past
August 30, 1982 - June 14, 1983
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
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(7/5/2017)
RR
Arizona(5/11/2017)
RR
California(12/15/1993)
RR
Colorado(7/13/2011)
RR
Delaware(6/28/2000)
RR
District of Columbia(12/8/2004)
RR
Florida(1/23/1992)
IAR
Florida(5/20/2021)
RR
Georgia(6/28/2013)
RR
Indiana(6/25/2015)
RR
Louisiana(9/3/2021)
RR
Maine(2/2/2016)
RR
Maryland(4/18/1997)
RR
Massachusetts(12/4/1997)
RR
Michigan(5/23/2017)
RR
Nevada(5/26/2022)
RR
New Jersey(6/30/1988)
RR
New York(1/11/2006)
RR
North Carolina(8/8/2011)
RR
Ohio(6/4/2020)
RR
Oregon(1/11/2017)
RR
Pennsylvania(6/30/1988)
IAR
Pennsylvania(7/19/2007)
RR
Rhode Island(4/24/2007)
RR
South Carolina(1/26/2000)
RR
Texas(1/30/2002)
IAR
Texas(2/4/2020)
RR
Virginia(6/30/1988)
RR
West Virginia(2/2/2016)
Exams
State Security Law Exam
General Industry/Product 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)
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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.
