Paul Roa
Paul Roa is a ChFC-designated registered investment advisor at Hornor, Townsend & Kent, LLC, based in Ankeny, IA, with 44 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Retirement Planning. Their firm serves 31,522 clients with $7.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
HTK offers investment advisory services through third-party asset managers (TPAMs). When HTK and its advisors act as co-advisors, they may receive a portion of the advisory fee charged by the TPAM. In some cases, the advisor may add a fee to the TPAM fee for certain advisory services. HTK charges up to 1.5% of the client's account value, not including manager fees and other charges associated with the TPAM program.
Location
Ankeny, IA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Paul works as an insurance agent for 4th QTR Impact & QTRIMPACT, selling and servicing insurance, including Penn Mutual Life products. This takes about half of his time and involves approximately 100 hours per month in trading.
Employment History
Current Registrations
Hornor, Townsend & Kent, LLC
Hornor, Townsend & Kent, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services,llc
Robert W. Baird & CO. IncorporatedBroker
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.