James E. O'malley

HORNOR, TOWNSEND & KENT

Attleboro Falls, MA

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CRD#: 5906044

Professional summary

James E O'malley is a registered financial professional currently at HORNOR, TOWNSEND & KENT, LLC located in Attleboro Falls, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 2 firms and has passed the SIE and Series 6 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James E O'malley's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 31, 2019 - Present

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

Attleboro Falls, MA

Past

July 29, 2011 - August 1, 2017

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

General Industry/Product Exam

SIE

Status Unavailable

Passed: 8/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 7/28/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

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)

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

485

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HTK WRAP FEE PROGRAM BROCHURE - PART 2A APPENDIX (4/24/2026)

HTK ADVISORY SERVICES DISCLOSURE BROCHURE - ADV PART 2A (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
1847 FINANCIAL LLC	SHAREHOLDER
DAVIS, LISA BETH	CO-PRESIDENT	5985055
GUNZENHAUSER, RADFORD MICHAEL	FINOP	7253452
HUCKERBY, KEITH GORDON	MANAGER	2641591
KANE, MICHAEL VITAS	CO-PRESIDENT	5272677
MASON, ANN-MARIE	CHIEF LEGAL OFFICER AND SECRETARY	7145020
O'MALLEY, DAVID MICHAEL	CHAIRMAN AND MANAGER	4468593
ROBINSON, VICTORIA MARIE	CHIEF COMPLIANCE OFFICER, MANAGER	4556827
ROMENESKO, DELANA RAQUEL	PRINCIPAL OPERATIONS OFFICER	2656165
WYANT, JUSTIN	MANAGER	8146157

Regulatory assets under management

Total Number of Accounts	28,369
AUM (Assets Under Management)	$ 9,014,857,753

Disclosures

Regulatory Event	11
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James E. O'malley

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James E O'malley's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

SIE

Passed: 8/1/2017

Series 6

Passed: 7/28/2011

FINRA

Current Firm

HORNOR, TOWNSEND & KENT, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HORNOR, TOWNSEND & KENT, LLC

TRUST BUT VERIFY

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