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Section: Investor Information

Investor Information

Hornor, Townsend & Kent, LLC (HTK) and its registered representatives are committed to helping investors make fully informed decisions about their personal finances. Informed decisions come from education and experience.

At HTK, we value the trust you have placed in us and take our responsibilities to you very seriously. Processing your trades efficiently and effectively is an integral part of the service you should expect from HTK.

HTK has a relationship with a leading clearing firm, which processes your trades-Pershing, LLC. Pershing, an affiliate of the Bank of New York Mellon, member NYSE, SIPC, carries your brokerage accounts and executes trades.

In the normal course of doing business, both Hornor, Townsend & Kent, LLC (HTK) and its registered representatives receive compensation for the sale of securities - including mutual funds (and money market mutual funds), variable annuities and variable life insurance (variable products), stocks, bonds and/or alternative investments.

The purpose of this Business Continuity Plan (BCP) summary is to ensure our clients that Hornor, Townsend & Kent, LLC (HTK) has a business continuity plan with detailed policies and procedures which we will employ in the event of a Significant Business Disruption (SBD).

Client Privacy Statement

In order to provide you with financial and investment advice, services and products, Hornor Townsend & Kent ("HTK") must obtain nonpublic personal information about you. HTK recognizes the importance of safeguarding this information in order to protect your privacy.

  • What information HTK collects

    HTK collects nonpublic personal information through a variety of means, including telephone conversations, personal meetings, applications and forms. This nonpublic personal information includes your name, address, social security number, assets, income, investment objectives and investment experience. Additionally, HTK collects information about your transactions with HTK and its affiliates, including your account balance, transactional history, and previous investments. You have the right to access and request correction of recorded information. You may write or call us at (800) 873-7637, option 2 to make such a request.

  • HTK's Disclosure Policy

    HTK does not disclose information about current or former customers to anyone, except as permitted by law. For instance, HTK may share customer information with its affiliates (for example, the Penn Mutual Life Insurance Company) to the extent necessary to comply with your requests for products and services. HTK may also share customer information with third party service providers to assist us in providing requested services.

    For example, HTK shares customer information with its clearing firm, so that you can receive statements, trading confirmations, monthly and or quarterly account statements, reorganization notices, and proxy information. For clients with investment advisory accounts, HTK shares information with investment companies and fund managers in order to enable them to make asset allocation and fund investment decisions. HTK ensures that any third parties that have access to customer information are contractually bound to keep this information confidential. Information we obtain from a report prepared by an insurance-support organization may be retained and disclosed by that organization.

    HTK is also permitted to disclose customer information in order to: comply with a subpoena or a request for information from the Securities Exchange Commission, FINRA Regulation, or other federal or state securities or insurance regulatory body; to comply with federal, state or local laws; to guard against fraud; and to comply with service of process (subpoena, court order, etc.).

  • HTK's Security Policy

    HTK maintains physical, electronic, and procedural safeguards that comply with federal standards to safeguard your personal information. All of HTK's employees are trained to respect our customers' privacy rights and are subject to disciplinary measures for failure to comply with HTK's Privacy Policy. HTK does not intend to alter its privacy policy in the future. However, if HTK did change its policy regarding the sharing of information, HTK would notify you in advance and provide you with an opportunity to prevent any disclosures.

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