James Woodall
James Woodall is a CFP-designated registered investment advisor at Hornor, Townsend & Kent, LLC, based in Holladay, UT, with 51 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
1895 E Rodeo Walk Dr, Suite 200 #B, Holladay, UT, 84117
Get directionsHistory
Regulatory History (8)
Regulatory
December 2001Customer Dispute
March 1999Customer Dispute
June 1998Customer Dispute
June 1997Customer Dispute
October 1996Customer Dispute
January 1993Customer Dispute
July 1986Regulatory
August 1985Other Business ActivitiesSells Insurance
James is an insurance agent for multiple carriers, including Penn Mutual Life Insurance Company, selling various insurance products since 2007; this takes about 10-20% of his time. He also has an S-Corp, Financial Redesign, Inc., established to pay 1099 insurance brokerage commissions, requiring minimal time.
Employment History
Current Registrations
Hornor, Townsend & Kent, LLC
Hornor, Townsend & Kent, LLCBroker
Previous Registrations
Oneamerica Securities, INC.
Oneamerica Securities, INC.Broker
First Western AdvisorsBroker
MML Investors Services, INC.Broker
The Merchanthouse Securities, INC.Broker
The Merchanthouse Securities, INC.Broker
Cornerstone Investments, L.L.C.Broker
Locust Street Securities, INC.Broker
Primeline Securities CORP.Broker
Titan Capital CorporationBroker
Westlake Securities, INC.Broker
Home Life Insurance CompanyBroker
Linsco CorporationBroker
Hartford Variable Annuity Life Life Insurance CompanyBroker
Penn Mutual Equity Services, INC.Broker
State Registrations5 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.