Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Thornton is a financial advisor with over 35 years of experience in the industry. Herbert is currently registered with Oppenheimer & Co. Inc. and has been with the firm since January 2019. Prior to joining Oppenheimer & Co. Inc., Herbert was employed by Wells Fargo Clearing Services, LLC for 15 years. Herbert's professional experience spans several firms including UBS Financial Services Inc. and A.G. Edwards & Sons, Inc. Herbert provides financial planning and portfolio management services to individuals, businesses, and pooled investment vehicles.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NJ
01/31/2019 - Present
Oppenheimer & Co. Inc. (RED BANK NJ)
NJ
10/29/2003 - 02/01/2019
WELLS FARGO CLEARING SERVICES, LLC (MIDDLESEX NJ)
NJ
06/09/1999 - 10/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
04/24/1989 - 06/03/1999
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
07/07/1986 - 04/27/1989
BAIRD, PATRICK & CO., INC.
NA
11/21/1984 - 07/22/1986
PHILIPS, APPEL & WALDEN, INC.
NA
04/03/1984 - 08/23/1984
TARA SECURITIES CORP.
IA
Issued 04/17/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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