HORNOR, TOWNSEND & KENT, LLC of CONSHOHOCKEN, PA is an SEC-registered investment adviser (CRD 4031). Regulatory assets under management: $9.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 109 people.
| Name | Role | Location |
|---|---|---|
| Miller Joseph | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | Juniper, FL |
| Victoria Marie Robinson | CHIEF COMPLIANCE OFFICER, MANAGER | — |
| Ann-Marie Mason | CHIEF LEGAL OFFICER AND SECRETARY | — |
| David Michael O'Malley | CHAIRMAN AND MANAGER | — |
| Keith Gordon Huckerby | MANAGER | — |
| Heather Jill Nagengast | MANAGER; PRESIDENT, MANAGER | — |
| Justin Wyant | MANAGER | — |
| Niki Lee Muller | PRINCIPAL OPERATIONS OFFICER | — |
| Radford Michael Gunzenhauser | FINOP | — |
| Karthick Dalawai Narayanswamy | MANAGER | — |
| Aaron J Gordon | PRESIDENT, MANAGER | — |
| Cristina Marie Leder | FINOP | — |
| TORAN DANIEL JAMES | CHAIRMAN & DIRECTOR; CHAIRMAN OF THE BOARD & DIRECTOR; CHAIRMAN OF THE BORAD & DIRECTOR | — |
| MULROONEY NINA MARIE | DIRECTOR; SENIOR VICE PRESIDENT, COMPLIANCE; SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR (+2 more) | — |
| MILLER STEVEN OTT | PRESIDENT & CEO; SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK; SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | — |
| MARTIN PAUL IRA | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | — |
| BEST JR FRANKLIN LUTHER | COUNSEL; COUNSEL & SECRETARY | — |
| LABEL ROBYN GAIL | DIRECTOR; VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | — |
| RUSH NANCY SPIVEY | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT; VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | — |
| BIONDOLILLO MICHAEL ANDREW | DIRECTOR | — |
| CLARK JAMES BRIAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL; REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | — |
| SIMONS THOMAS ROLAND | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL; SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| POLAKOWSKI STACEY NINA | TREASURER; TREASURER & CONTROLLER | — |
| DAMBRISI PHILLIP PAUL | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT; SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER; SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR (+1 more) | — |
| CLEMENS GREGORY JON | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-03-21 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S DISCLOSED, BUT UNAPPROVED, OUTSIDE BUSINESS ACTIVITY (OBA) INVOLVING THE SALE OF A SECURITY DESCRIBED AS A STRUCTURED CASH… | Final | $180K |
| 2017-11-14 | regulatory | THE FIRM FAILED TO REASONABLY SUPERVISE REPRESENTATIVES' SALE OF MULTI-SHARE CLASS VARIABLE ANNUITIES, AND FAILED TO PROVIDE TRAINING TO ITS REPRESENTATIVES AND PRINCIPALS ON THE SALE AND SUPERVISION OF MULTI-SHARE CLASS VARIABLE ANNUITIES. ALSO, THE FIRM FAILED TO ADEQUATELY SUPERVISE THE PRIVATE S… | Final | $275K |
| — | regulatory | — | — | — |
Showing 15 of 24 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| NEW YORK | NY | 53 | 212-697-1355 |
| CONSHOHOCKEN | PA | 40 | 610-771-0800 |
| BOCA RATON | FL | 21 | 561-314-3100 |
| EDISON | NJ | 20 | 732-225-0777 |
| ADDISON | TX | 15 | 469-737-4000 |
| ALLENTOWN | PA | 14 | 610-440-0458 |
| PITTSBURGH | PA | 14 | 412-733-4000 |
| AKRON | OH | 13 | 330-668-9065 |
| BRENTWOOD | TN | 11 | (615) 846-3322 |
| CHARLOTTE | NC | 10 | (704)362-6787 |
| HOUSTON | TX | 10 | (713) 561-8100 |
| HOLLADAY | UT | 9 | (801) 424-0020 |
| TAMPA | FL | 8 | (813) 281-9200 |
| NORWALK | CT | 7 | (203) 966-2636 |
| GREENVILLE | SC | 7 | (914) 901-8315 |