JB
James P. Bergmaier
HORNOR, TOWNSEND & KENT
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 4913556
JB
Professional summary
James Patrick Bergmaier, CFP®, who also goes by Pat Bergmaier, Patrick Bergmaier, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in Conshohocken, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Bergmaier | Patrick Bergmaier
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: 1847FINANCIAL | Position Held: Agent | Address: 161 WASHINGTON STREET FLOOR 11, SUITE 1111, CONSHOHOCKEN, PA 19428 | Start Date: 02/2015 | Nature of Activity: Multi-Line Insurance Brokerage | Approx Hrs Per Mth: Over 140 Hrs | Approx Trading Hrs Per Mth: Over 140 Hrs | Description of Duties: SALES AND SERVICE OF LIFE, ACCIDENT, HEALTH/DI/ LTC AND ANNUITY CLIENT ACCOUNTS. 2) AMERICAN COLLEGE CENTER FOR SPECIAL NEEDS ADVISORY BOARD | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: ADVISORY BOARD MEMBER | ADDRESS: THE AMERICAN COLLEGE OF FINANCIAL SERVICES MASSMUTUAL CENTER FOR SPECIAL NEEDS 270 SOUTH BRYN MAWR AVENUE BRYN MAWR, PA 19010 | START DATE: 5/1/2019 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS. 3) BOARD MEMBER - ARDENT COMMUNITY TRUST OF PENNSYLVANIA | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: DIRECTOR | ADDRESS: 1012 W. 9TH AVE, SUITE 215 KING OF PRUSSIA 19406 | START DATE: 5/5/2021 | NATURE OF ACTIVITY: CHARITY/RELIGIOUS/FOUNDATION | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: ACT IS A NON-PROFIT CORPORATION INCORPORATED IN PENNSYLVANIA FOR THE PURPOSE OF ADMINISTERING A POOLED SPECIAL NEEDS: TRUST FOR THE BENEFIT OF INDIVIDUALS WITH DISABILITIES. WE ALSO ACT AS TRUSTEE FOR OTHER SPECIAL NEEDS TRUSTS, INCLUDING: FIRST PARTY AND THIRD PARTY SPECIAL NEEDS TRUSTS AS WELL AS EDUCATIONAL SPECIAL NEEDS TRUSTS. 4)PENN MUTUAL NATIONAL ADVISORY COUNCIL (NAC) EXECUTIVE COMMITTEE | DBA: N/A | POSITION: TREASURER | NATURE: FINANCIAL SERVICES INDUSTRY GROUP | INVESTMENT RELATED: NO | NUMBER OF HOURS: 1 | SECURITIES TRADING HOURS: 1 | START DATE: 06/01/2023 | ADDRESS: 161 WASHINGTON ST, SUITE 1111, CONSHOHOCKEN PA 19428 | DESCRIPTION: CURRENTLY I AM IN THE ROLE AS THE TREASURER FOR THE PENN MUTUAL NATIONAL ADVISORY COUNCIL (NAC) EXECUTIVE COMMITTEE. THE NAC WORKS IN HARMONY WITH PENN MUTUAL TO HELP FINANCIAL PROFESSIONALS IN BUILDING THEIR PRACTICES TO MEET CLIENT NEEDS AND SUSTAIN THE FINANCIAL STRENGTH OF THE COMPANY. THE NAC'S PURPOSE AND OBJECTIVES ARE TO ENHANCE VISIBILITY AND BUILD A SENSE OF COMMUNITY AMONG PENN MUTUAL FINANCIAL PROFESSIONALS & COLLABORATE BETWEEN HOME OFFICE LIAISONS AND FINANCIAL PROFESSIONALS TO STRENGTHEN SALES AND SERVICE ENVIRONMENT. 5)INSURANCE BROKERAGE | HEARTLUX CAPITAL | POSITION: PARTNER | NATURE: LIFE INSURANCE BROKERAGE | INVESTMENT RELATED: YES | NUMBER OF HOURS: 160 | SECURITIES TRADING HOURS: 160 | START DATE: 09/05/2025 | ADDRESS: 161 WASHINGTON ST, SUITE 1111, CONSHOHOCKEN PA 19428 | DESCRIPTION: OWNER/FINANCIAL PROFESSIONAL. 6)APPLECROSS COUNTRY CLUB HOMEOWNERS ASSOCIATION BOARD MEMBER | POSITION: OFFICER | NATURE: BOARD MEMBER FOR HOA | INVESTMENT RELATED: NO | NUMBER OF HOURS: 5 | SECURITIES TRADING HOURS: 0 | START DATE: 10/07/2025 | ADDRESS: 170 ZYNN RD, DOWNINGTOWN PA 19335 | DESCRIPTION: RESPONSIBLE FOR GOVERNING THE COMMUNITY ON BEHALF OF HOMEOWNERS BY MAINTAINING PROPERTY VALUES, ENFORCING THE COMMUNITY'S GOVERNING DOCUMENTS, MANAGING FINANCES, AND ENSURING LEGAL COMPLIANCE.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Bergmaier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Bergmaier'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: 2011
Experience
Current
February 25, 2015 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Current
February 9, 2015 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 161 Washington Street Floor 11, Suite 1111, Conshohocken, PA 19428RIA
BD
CRD#: 4031
Conshohocken, PA
Past
February 7, 2008 - February 18, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PLYMOUTH MEETING, PA
Past
June 22, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PLYMOUTH MEETING, PA
Past
June 22, 2005 - February 18, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PLYMOUTH MEETING, 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
Colorado(10/30/2024)
RR
Connecticut(2/1/2016)
RR
Delaware(2/9/2015)
RR
District of Columbia(3/7/2024)
RR
Florida(2/9/2015)
IAR
Florida(4/30/2025)
RR
Georgia(2/26/2025)
RR
Maryland(2/24/2017)
RR
New Jersey(2/9/2015)
RR
New York(8/10/2017)
RR
North Carolina(7/30/2019)
RR
Ohio(4/17/2018)
RR
Pennsylvania(2/9/2015)
IAR
Pennsylvania(2/25/2015)
RR
South Carolina(1/16/2020)
RR
Texas(1/23/2018)
IAR
Texas(3/2/2018)
RR
Virginia(6/28/2022)
Exams
State Security Law Exam
State Security Law 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)
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.
