JG
James T. Greenwell
HORNOR, TOWNSEND & KENT
Roswell, GA 30075
Some features on this profile are disabled
CRD#: 1515931
JG
Professional summary
James Thomas Greenwell, who also goes by James T Greenwell, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Roswell, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James T Greenwell
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: STRATEGIC PLANNING GROUP, INVESTMENT-RELATED,10898 CRABAPPLE RD SUITE 102 ROSWELL, GA 30075 , INSURANCE SALES, AGENT/SENIOR VICE PRESIDENT, START DATE: 07/01/2013, APPROXIMATE NUMBER OF HOURS/MONTH: 40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 40, DUTIES: INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY INCLUDING LIFE SETTLEMENTS EFFECTIVE 10/27/2008.
2) LANDLORD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 2904 E. DOLPHIN DR OAK ISLAND, NC 28465 | START DATE: 4/1/2020 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: RENTAL INCOME
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Greenwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Greenwell'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
March 9, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 10898 Crabapple Rd Suite 102, Roswell, GA 30075RIA
BD
CRD#: 4031
Roswell, GA
Current
January 17, 2003 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 10898 Crabapple Rd Suite 102, Roswell, GA 30075RIA
BD
CRD#: 4031
Roswell, GA
Past
August 16, 2001 - February 12, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - February 12, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
September 5, 1986 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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(5/12/2006)
RR
Florida(10/25/2010)
RR
Georgia(1/17/2003)
IAR
Georgia(3/9/2007)
RR
Kentucky(7/21/2003)
RR
Maryland(3/4/2024)
RR
North Carolina(5/28/2004)
RR
South Carolina(7/21/2003)
RR
Tennessee(1/25/2024)
RR
Texas(8/1/2016)
IAR
Texas(4/27/2017)
RR
Virginia(10/1/2014)
RR
West Virginia(11/22/2010)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
