JC
James P. Cooney
HORNOR, TOWNSEND & KENT
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 5963477
JC
Professional summary
James Paul Cooney, CFP®, who also goes by James Cooney, Jim Cooney, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Cooney | Jim Cooney
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: EMPIRE WEALTH STRATEGIES | POSITION HELD: AGENT- | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 2017-05-05 | 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: Insurance sales and service for multiple carriers including Penn Mutual Life Insurance Company Including Life Settlements effective 01/23/2018. 2) DBA - POWER FORWARD GROUP & LENZO WEALTH & VINEYARD FINANCIAL PARTNERS POSITION: Agent NATURE: Life Insurance brokerage INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | DESCRIPTION: listed as CFP on websites for teams for Power Forward Group and Lenzo Wealth Managementwww.powerforwardgroup.comwww.lenzowealth.com 3)INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847 FINANCIAL | POSITION HELD: AGENT- | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | START DATE: 01/01/2024 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE- | APPROX HRS PER MTH: OVER 20 HOURS | APPROX TRADING HRS PER MTH: 20 HOURS | DESCRIPTION OF DUTIES: Insurance sales and service for multiple carriers including Penn Mutual Life Insurance Company Including Life Settlements effective 01/01/2024. 4) DBA - Power Forward Group & Lenzo Wealth & Vineyard Financial Partners & New Everyday Wealth Strategies, Altitude Financial Partners | POSITION: Agent | NATURE: Life Insurance brokerage | INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 | ADDRESS: 30 VESEY ST, 9TH FLOOR, NEW YORK, NY 10007 | DESCRIPTION: listed as CFP on websites for teams for Power Forward Group and Lenzo Wealth Managementwww.powerforwardgroup.comwww.lenzowealth.com
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Cooney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Paul Cooney'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: 2017
Experience
Current
July 24, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Current
May 18, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Past
October 8, 2014 - January 13, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ELMSFORD, NY
Past
September 5, 2014 - January 13, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ELMSFORD, NY
Past
May 23, 2013 - August 21, 2014
EQUITY SERVICES, INC.
RIA
CRD#: 265
NEW YORK, NY
Past
May 16, 2013 - August 21, 2014
EQUITY SERVICES, INC.
BD
CRD#: 265
NEW YORK, NY
Past
March 27, 2012 - May 14, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PARAMUS, NJ
Past
February 13, 2012 - May 14, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PARAMUS, NJ
Past
November 18, 2011 - January 26, 2012
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
JERSEY CITY, NJ
Past
September 12, 2011 - January 26, 2012
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
JERSEY CITY, 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.
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
Alabama(6/27/2022)
RR
Arizona(8/3/2022)
RR
California(10/13/2020)
RR
Colorado(6/24/2022)
RR
Connecticut(5/26/2020)
RR
Delaware(3/30/2022)
RR
District of Columbia(8/3/2022)
RR
Florida(11/3/2017)
RR
Georgia(10/4/2024)
RR
Illinois(11/25/2020)
RR
Indiana(4/4/2022)
RR
Kentucky(5/19/2022)
RR
Maine(4/17/2020)
RR
Maryland(5/4/2020)
RR
Massachusetts(10/4/2024)
RR
Minnesota(3/12/2021)
RR
Missouri(6/30/2022)
RR
Nevada(6/11/2019)
RR
New Hampshire(4/17/2020)
RR
New Jersey(7/19/2017)
RR
New York(5/18/2017)
IAR
New York(3/19/2021)
RR
North Carolina(8/4/2020)
RR
Pennsylvania(6/12/2019)
RR
Rhode Island(4/17/2020)
RR
South Carolina(10/4/2024)
RR
Texas(5/21/2019)
RR
Utah(2/25/2025)
RR
Vermont(4/17/2020)
RR
Virginia(8/29/2019)
RR
Washington(11/25/2020)
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.
