JR
James L. Richmond
HORNOR, TOWNSEND & KENT
Hummels Wharf, PA 17831
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CRD#: 2500490
JR
Professional summary
James Lynn Richmond is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Hummels Wharf, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 3 firms and has passed the Series 63, SIE and Series 6 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 | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT- | ADDRESS: 1969 SUSQUEHANNA TRAIL, STE B, HUMMELS WHARF, PA 17831 | START DATE: 2016-08-25 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE- | APPROX HRS PER MTH: OVER 140 HOURS | APPROX TRADING HRS PER MTH: 101-140 HOURS | DESCRIPTION OF DUTIES: SALES & SERVICE OF LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INS. CO. 2) JAME L RICHMOND, LLC | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PROPRIETOR/OWNER | ADDRESS:208 QUARRY RD SELINSGROVE, PA 17870 | START DATE: 7/1/2019 | NATURE OF ACTIVITY: OTHER - | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: FORMED LLC TO HOLD INCOME TO TRANSFER INCOME FROM ALL SOURCES TO THE LLC. 3) THE GREATER SUSQUEHANNA VALLEY UNITED WAY | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: BOARD MEMBER AD HOC MEMBER OF THE FINANCE COMMITTEE | ADDRESS: 228 ARCH ST, SUNBURY, PA 17801 | START DATE:3/18/2020 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: MEMBER OF THE FINANCE COMMITTEE : REVIEWING THE AUDITED FINANCIALS AND 990 OF THE UNITED WAY. MAIN GOAL ASSIST FINANCIAL POLICIES AND OVERSEE THE BUDGET. 4) ESTATE CONSULTANT | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: PRIVATE CONTRACTOR | ADDRESS:1847FINANCIAL 1969 N. SUSQUEHANNA TRL, STE B P O BOX 341 HUMMELS WHARF, PA 17831 AND ATTORNEY'S OFFICE AT:THE LAW OFFICES OF DIEHL, DLUGE, MICHETTI & MICHETTI 1070 MARKET ST. SUNBURY, PA 17801 | START DATE: 3/22/2021 | NATURE OF ACTIVITY: WORKING WITH ATTORNEY HELPING WITH LEGAL SERVICES | APPROX HRS PER MTH: 10-25 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES:CONSULTANT FOR A LOCAL ATTORNEY TO COLLECT INFORMATION AND APPROPRIATE FORMS NEEDED TO SETTLE AN ESTATE FOR THE ATTORNEY. 5) WDE FINANCIAL SERVICES, LLC; POSITION: MEMBER NATURE: LIFE INSURANCE BROKERAGE INVESTMENT RELATED: YES NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 12 START DATE: 01/01/2023 ADDRESS: 1969 N. SUSQUEHANNA TRAIL, SUITE B, HUMMELS WHARF, PA 17831, UNITED STATES; DESCRIPTION: SALES AND SERVICE OF LIFE, DISABILITY INSURANCE, AND HEALTH. 6)BOARD OF DIRECTORS MEMBER | POSITION: DIRECTOR NATURE: UNION/SNYDER AGENCY ON AGING | INVESTMENT RELATED: NO | NUMBER OF HOURS: 3 | SECURITIES TRADING HOURS: 3 | START DATE: 07/01/2023 | ADDRESS: 116 NORTH 2ND. ST, LEWISBURG PA 17837, UNITED STATES | DESCRIPTION: I WILL BE A MEMBER OF THE BOARD OF DIRECTORS FOR THIS NON-PROFIT. THE AGENCY ON AGING IS IN PLACE TO PROVIDE SENIOR CITIZENS WITH HEALTH AND WELL FAIR BENEFITS THAT MOSTLY FUNDED BY STATE AND FEDERAL GOVERNMENT. AS A BOARD MEMBER I WILL BE INVOLVED IN THE DECISION MAKING PROCESS ALONG WITH OTHER BOARD MEMBERS. I WILL NOT HAVE CHECK WRITING DUTIES. 7) INSURANCE BROKERAGE | DBA: 1847FINANCIAL HUMMELS WHARF | POSITION: 1847FINANCIAL HUMMELS WHARF IS USED ON MARKETING MATERIAL TO HELP CLIENTS AND PROSPECTS KNOW THAT I AM A LOCAL OFFICE. MY OFFICE IS REGISTERED SITE. | NATURE: LIFE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | NUMBER OF HOURS: 160 | SECURITIES TRADING HOURS: 160 | START DATE: 07/01/2023 | ADDRESS: 1969 N. SUSQUEHANNA TRL STE, P O BOX 341, HUMMELS WHARF PA 17831 | DESCRIPTION: I AM A FINANCIAL PROFESSIONAL THAT CONDUCTS BUSINESS WITH CLIENTS AND POTENTIAL CLIENTS RELATED TO INVESTMENTS AND INSURANCE. WE ALSO DO SERVICE WORK FOR CLIENTS AS WELL.
CRS (Client Relationship Summary) - RIA
Click below to view James Lynn Richmond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Lynn Richmond'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
August 3, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1969 N Susquehanna Trl, Ste B, Hummels Wharf, PA 17831Office #2: 1372 N Susquehanna Trl Ste 210, Selinsgrove, PA 17870RIA
BD
CRD#: 4031
Hummels Wharf, PA
Current
September 1, 2016 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1969 N Susquehanna Trl, Ste B, Hummels Wharf, PA 17831Office #2: 1372 N Susquehanna Trl Ste 210, Selinsgrove, PA 17870RIA
BD
CRD#: 4031
Hummels Wharf, PA
Past
November 2, 2007 - September 13, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Hummels Wharf, PA
Past
June 28, 1994 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
LEWISBURG, PA
Past
June 28, 1994 - September 13, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Hummels Wharf, 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
Florida(1/20/2017)
RR
Illinois(12/10/2019)
RR
Pennsylvania(9/1/2016)
IAR
Pennsylvania(8/3/2017)
Exams
State Security Law 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.
Company Information
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031Hummels Wharf, PA 17831TRUST BUT VERIFY
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