JW
James G. Woodall
HORNOR, TOWNSEND & KENT
Holladay, UT 84117
Some features on this profile are disabled
CRD#: 472183
JW
Professional summary
James Grady Woodall, CFP®, who also goes by Woody Woodall, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Holladay, Utah.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. James has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Woody Woodall
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: CAMBRIDGE FINANCIAL CENTER, INC., INVESTMENT-RELATED, 1895 E RODEO WALK DR, SUITE 200#B, Holladay, UT 84117, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, AGENT, START DATE: 04/01/2007, APPROXIMATE NUMBER OF HOURS/MONTH: 25-40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: SALES AND SERVICE OF INSURANCE PRODUCTS INCLUDING LIFE, HEALTH, DISABILITY, LONG TERM CARE, AND ANNUITIES. 2) DBA: FINANCIAL REDESIGN, INC., NOT-INVESTMENT RELATED, 1731 E. BRIARGLEN LANE, SANDY, UT 84092, S-CORP, SOLE SHAREHOLDER, START DATE: 01/03/1995, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY: LESS THAN 10, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITY TRADING HOURS: LESS THAN 10, DUTIES: S-CORP ESTABLISHED FOR THE PURPOSE OF PAYING 1099 INSURANCE BROKERAGE COMMISSIONS.
CRS (Client Relationship Summary) - RIA
Click below to view James Grady Woodall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Grady Woodall'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®
CFP®
Start date: 1985
Experience
Current
April 23, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1895 E Rodeo Walk Dr Suite 200 #b, Holladay, UT 84117RIA
BD
CRD#: 4031
Holladay, UT
Current
April 9, 2007 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 1895 E Rodeo Walk Dr Suite 200 #b, Holladay, UT 84117RIA
BD
CRD#: 4031
Holladay, UT
Past
September 11, 2004 - April 11, 2007
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
MALAD CITY, ID
Past
February 10, 2004 - April 11, 2007
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MALAD CITY, ID
Past
May 21, 2003 - February 3, 2004
FIRST WESTERN ADVISORS
BD
CRD#: 13623
HOLLADAY, UT
Past
September 19, 2002 - May 29, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 4, 2000 - November 8, 2002
WIZER FINANCIAL, INC.
BD
CRD#: 7130
NEW ALBANY, IN
Past
April 18, 2000 - July 18, 2000
WIZER FINANCIAL, INC.
BD
CRD#: 7130
NEW ALBANY, IN
Past
September 21, 1999 - December 10, 1999
CORNERSTONE INVESTMENTS, L.L.C.
BD
CRD#: 38042
TOPEKA, KS
Past
June 2, 1998 - June 14, 1999
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 25, 1986 - May 14, 1998
PRIMELINE SECURITIES CORP.
BD
CRD#: 15896
WICHITA, KS
Past
March 20, 1984 - August 5, 1985
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
December 16, 1982 - March 20, 1984
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
Past
July 8, 1974 - January 22, 1982
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
February 13, 1974 - August 24, 1974
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
October 15, 1973 - April 4, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
BD
CRD#: 4291
Past
August 8, 1972 - July 26, 1973
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
Arizona(10/16/2024)
RR
California(5/14/2007)
RR
Florida(7/12/2010)
RR
Idaho(5/15/2007)
RR
Utah(4/23/2007)
IAR
Utah(4/23/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/1/1972
Registered Representative ExaminationPrincipal/Supervisory 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)
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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.
