James Rogers
James Rogers is a ChFC-designated registered investment advisor at Hornor, Townsend & Kent, LLC, based in Exton, PA, with 43 years of industry experience. James 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
203 Exton Commons, Exton, PA, 19341
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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
James owns Keystone Financial Group, an insurance brokerage, since 1975, dedicating about a quarter of his time, including during securities trading hours, to insurance sales and service. He also owns commercial and residential rental properties since 1977, spending minimal time receiving rental income.
Employment History
Current Registrations
Hornor, Townsend & Kent, LLC
Hornor, Townsend & Kent, LLCBroker
Previous Registrations
Janney Montgomery Scott INC.Broker
Penn Mutual Equity Services, INC.Broker
State Registrations26 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.