Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thornton is a financial advisor with over 19 years of experience in the industry. James currently works at Raymond James Financial Services Advisors, Inc. and is registered in Illinois and Texas. Previously, James worked at firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, The Leaders Group, Inc., Credit Suisse Securities (USA) LLC, Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., Natcity Investments, Inc., Harris Investor Services LLC, Harris Investorline Inc., and Morgan Stanley DW Inc. James holds licenses for Series 63, 65, 66, 7, and SIE. James provides financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars, and selection of other advisers.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
IL
09/17/2020 - Present
Raymond James Financial Services Advisors, Inc. (Downers Grove IL)
IL
09/13/2013 - 09/18/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OAK BROOK IL)
CO
01/03/2011 - 12/31/2012
THE LEADERS GROUP, INC. (LITTLETON CO)
IL
06/20/2007 - 03/05/2009
CREDIT SUISSE SECURITIES (USA) LLC (NORTHBROOK IL)
IL
04/02/2007 - 06/26/2007
MORGAN STANLEY & CO., INCORPORATED (RIVERWOODS IL)
IL
03/12/2007 - 04/02/2007
MORGAN STANLEY DW INC. (RIVERWOODS IL)
OH
09/02/2004 - 03/07/2005
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NJ
05/01/2002 - 02/11/2003
HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)
WA
11/10/2001 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
NY
04/07/2000 - 12/06/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 02/13/2014
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/26/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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