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Investment Adviser Firm Summary
HORNOR, TOWNSEND & KENT, LLC ( CRD # 4031/SEC#:801-56151,8-14715 )
HORNOR, TOWNSEND & KENT, INC., PENN MUTUAL EQUITY SERVICES, INC., HORNOR, TOWNSEND & KENT, LLC

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved2/25/1999
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama4/8/2003
Alaska4/11/2003
Arizona8/28/2000
Arkansas4/8/2003
California5/10/1999
Colorado4/8/2003
Connecticut4/8/2003
Delaware4/8/2003
District of Columbia4/8/2003
Florida7/13/1992
Georgia4/8/2003
Hawaii4/8/2003
Idaho4/8/2003
Illinois9/26/1996
Indiana4/8/2003
Iowa4/8/2003
Kansas4/8/2003
Kentucky4/8/2003
Louisiana4/8/2003
Maine4/8/2003
Maryland8/3/1992
Massachusetts12/6/1999
Michigan4/8/2003
Minnesota4/8/2003
Mississippi4/8/2003
Missouri4/8/2003
Montana4/8/2003
Nebraska4/8/2003
Nevada4/8/2003
New Hampshire3/24/2000
New Jersey4/8/2003
New Mexico4/8/2003
New York4/8/2003
North Carolina4/8/2003
North Dakota4/8/2003
Ohio4/8/2003
Oklahoma8/21/2000
Oregon4/8/2003
Pennsylvania4/8/2003
Rhode Island4/8/2003
South Carolina4/8/2003
South Dakota5/21/2003
Tennessee3/23/2000
Texas4/8/2003
Utah4/8/2003
Vermont4/8/2003
Virginia4/8/2003
Washington6/7/1996
West Virginia4/8/2003
Wisconsin4/8/2003
Wyoming3/26/2024
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.