Paul Herman Roa

Employer firm

Hornor, Townsend & Kent, LLC CRD 4031

$9.01B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1976 → 04/2025
  Northwestern Mutual Life
  Milwaukee, WI
• 04/1982 → 04/2025
  Nmis
  Milwaukee, WI
• 02/2009 → 05/2020
  Northwestern Mutual Investment Services, Llc
  Virginia Beach, VA
• 01/2016 → 04/2025
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 06/2020 → 04/2025
  Northwestern Mutual Investment Services Llc
  West Des Moines, IA
• 05/2025 → Present
  Hornor, Townsend & Kent, Llc
  Wilmington, DE

Previous Registrations

• 2011-11-29 → 2021-11-04
  Northwestern Mutual Investment Services, Llc
  Virginia Bch, VA
  Williamsburg, VA
  Williamsburg, VA
  Williamsburg, VA
  Ankeny, IA
  W Des Moines, IA

Other Businesses

INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 4th QTR IMPACT & QTRIMPACT | POSITION HELD: AGENT | ADDRESS: 805 SE 8TH ST, ANKENY, IA 50021 | START DATE: 05/01/2025 | NATURE OF ACTIVITY: INSURANCE BROKERAGE | APPROX HRS PER MTH: 100 | APPROX TRADING HRS PER MTH: 100 | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE INCLUDING PENN MUTUAL LIFE PRODUCTS

Exams

• S63 Uniform Securities Agent State Law Examination
  1990-12-20

Designations

• Chartered Financial Consultant

Other Names

• Paul Roa