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Detailed Report
JAMES WALTER KNOX
CRD#: 703116
IA
Investment Adviser
B
Broker
HORNOR, TOWNSEND & KENT, LLCCRD#: 4031 100 CROSSWAYS PARK WEST
SUITE 403
WOODBURY, NY 11797
Registration History
1980198519901995200020052010201520202025IAHORNOR, TOWNSEND & KENT, LLC (CRD# 4031)2005 - Present (20 years)BHORNOR, TOWNSEND & KENT, LLC (CRD# 4031)2004 - Present (20 years)BNEW ENGLAND SECURITIES (CRD# 615)1980 - 2004 (24 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2002 - 2004 (2 years)
License(s)

State Registrations

B
California 4/11/2019
B
New Jersey 3/17/2023
B
Connecticut 10/25/2004
B
New York 10/27/2004
B
Florida 10/25/2004
IA
New York 3/19/2021
B
Massachusetts 5/6/2019
B
North Carolina 2/21/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HORNOR, TOWNSEND & KENT, LLC (CRD#:4031)
100 CROSSWAYS PARK WEST SUITE 403, WOODBURY, NY 11797
Registered with this firm since 2/18/2005
B
HORNOR, TOWNSEND & KENT, LLC (CRD#:4031)
100 CROSSWAYS PARK WEST SUITE 403, WOODBURY, NY 11797
Registered with this firm since 10/25/2004
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/21/2002 - 10/05/2004 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) UNIONDALE, NY
B
 01/08/1980 - 10/05/2004 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.