TrueAdvisor
TrueAdvisor
JW
CFP
JW
CFP

James Woodall

Hornor, Townsend & Kent, LLC
51 Years of Experience
Holladay, UT
8 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

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 is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 28,369 clients with $9B in assets under management.

Hornor, Townsend & Kent, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
464 advisors
Number of Clients
28,369 clients
Average Client Portfolio
$318K average
Assets Under Management
$9.0B

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Fees are up to 1.5% and do not include separate manager fees and other charges associated with third-party asset manager programs. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1895 E Rodeo Walk Dr, Suite 200 #B, Holladay, UT, 84117

Get directions

History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2001
Final
Customer Dispute
March 1999
Settled
Customer Dispute
June 1998
Settled
Customer Dispute
June 1997
Settled
Customer Dispute
October 1996
Settled
Customer Dispute
January 1993
Settled
Customer Dispute
July 1986
Settled
Regulatory
August 1985
Final
View Full SEC ReportHow to Read Disclosures
Other 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
April 2007 - Present · 19 yrs 6 mos
Hornor, Townsend & Kent, LLCBroker
April 2007 - Present · 19 yrs 6 mos
Previous Registrations
Oneamerica Securities, INC.
September 2004 - April 2007 · 2 yrs 7 mos
Oneamerica Securities, INC.Broker
February 2004 - April 2007 · 3 yrs 2 mos
First Western AdvisorsBroker
May 2003 - February 2004 · 9 mos
MML Investors Services, INC.Broker
September 2002 - May 2003 · 8 mos
The Merchanthouse Securities, INC.Broker
August 2000 - November 2002 · 2 yrs 3 mos
The Merchanthouse Securities, INC.Broker
April 2000 - July 2000 · 3 mos
Cornerstone Investments, L.L.C.Broker
September 1999 - December 1999 · 3 mos
Locust Street Securities, INC.Broker
June 1998 - June 1999 · 1 yr
Primeline Securities CORP.Broker
March 1986 - May 1998 · 12 yrs 2 mos
Titan Capital CorporationBroker
March 1984 - August 1985 · 1 yr 5 mos
Westlake Securities, INC.Broker
December 1982 - March 1984 · 1 yr 3 mos
Home Life Insurance CompanyBroker
July 1974 - January 1982 · 7 yrs 6 mos
Linsco CorporationBroker
February 1974 - August 1974 · 6 mos
Hartford Variable Annuity Life Life Insurance CompanyBroker
October 1973 - April 1974 · 6 mos
Penn Mutual Equity Services, INC.Broker
August 1972 - July 1973 · 11 mos
State Registrations5 states
AZCAFLIDUT
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Holladay, UT →All financial advisors in Utah →