Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rogers is a financial advisor with over 40 years of experience in the financial services industry. James currently works with Hornor, Townsend & Kent, LLC. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 6, 7, 22, and 63 licenses. James is also a Chartered Financial Consultant. James's prior experience includes positions at Janney Montgomery Scott Inc. and Penn Mutual Equity Services, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Trail commissions, distribution assistance fees
1
2
PA
02/04/2020 - Present
Hornor, Townsend & Kent, LLC (EXTON PA)
NA
05/04/1983 - 07/05/1988
JANNEY MONTGOMERY SCOTT INC.
NA
08/30/1982 - 06/14/1983
PENN MUTUAL EQUITY SERVICES, INC.
BC
Issued 11/12/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
BC
Issued 10/08/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/26/1982
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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