JP
James C. Pierce
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CRD#: 2642401
JP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Craig Pierce, who also goes by Jim Pierce, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Pierce
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: NATIONAL LEGACY GROUP, INVESTMENT-RELATED, 2ND FLOOR 187 DANBURY RD, WILTON, CT 06897, INSURANCE SALES AND SERVICES, PRESIDENT/AGENT, START DATE: 02/1987, 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: LIFE, ACCIDENT, HEALTH, DISABILITY AND LTC INSURANCE SALES AND SERVICES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2) ITRANSACT, NOT INVESTMENT-RELATED, 2ND FLOOR 187 DANBURY RD, WILTON, CT 06897, DISCOUNT CREDIT CARD TRANSACTION SERVICE, AGENT, START DATE: 09/21/12, APPROXIMATE NUMBER OF HOURS/MONTH: LESS THAN 10, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: LESS THAN 10, DUTIES: INTRODUCE CLIENTS AND CPA TO ITRANSACT SERVICES, FIND BUSINESSES THAT USE CREDIT CARDS AND COLLECTING CREDIT CARD TRANSACTION STATEMENTS. 3) JAMESPIERCE IC, LLC | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: AGENT/ LESSEE | ADDRESS: 2ND FLOOR 187 DANBURY RD, WILTON, CT 06897 | START DATE: 11/30/2020 | NATURE OF ACTIVITY: RENTAL PROPERTY | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: ADVICE FROM CPA,TO ADD LEASING LLC FOR THE SOLE PURPOSE OF LIABILITY NO DUTIES 4) STARFISH CONTINUUM, INC. | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: DIRECTOR: PRESIDENT | ADDRESS: 1858 HILLVIEW ROAD, RICHMOND, VT 05477 | START DATE: 11/23/2021 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: :ACTED AS AGENT TO FILE WITH THE STATE OF CT & IRS THE BUSINESS REGISTRATION RESOLUTION FOR NON PROFIT
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
July 13, 2010 - August 21, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
WILTON, CT
Past
July 12, 2010 - August 21, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WILTON, CT
Past
June 26, 1996 - June 29, 2010
EQUITY SERVICES, INC.
RIA
CRD#: 265
CEDAR KNOLLS, NJ
Past
September 18, 1995 - June 29, 2010
EQUITY SERVICES, INC.
BD
CRD#: 265
CEDAR KNOLLS, NJ
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
