Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Thornton is an investment advisor representative registered with Northern Trust Securities, Inc. Mitchell has been in the industry since March 2, 1995 and holds licenses including Series 3, 7, 9, 10, 24, 31, 63, 65, 66 and SIE. Mitchell is registered with the state of Illinois as an investment advisor representative. Mitchell was previously registered with Moors & Cabot, Inc., Banc of America Investment Services, Inc., Wells Fargo Investments, LLC, and Morgan Stanley DW Inc. Northern Trust Securities, Inc. manages assets for high net worth individuals, corporations, charitable organizations, partnerships, 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.
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.
1
2
IL
07/11/2016 - Present
Northern Trust Securities, Inc. (Chicago IL)
CA
08/10/2009 - 08/20/2010
MOORS & CABOT, INC. (SAN FRANCISCO CA)
CA
08/22/2006 - 02/09/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
04/28/2005 - 08/21/2006
WELLS FARGO INVESTMENTS, LLC (PALO ALTO CA)
NY
08/16/1994 - 04/20/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/11/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2008
Series 24 - General Securities Principal Examination
BC
Issued 04/21/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2002
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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