Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thornton? Claim Your ProfileThornton Fay is a registered investment advisor representative with Tiaa-cref Individual & Institutional Services, LLC. Thornton has been in the financial services industry since 1997. Thornton has passed several industry exams, including the Series 63, Series 65, Series 66, Series 7, Series 9, and Series 10. Thornton currently holds registrations in Connecticut, Massachusetts, New York, and Rhode Island.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CT
05/17/2023 - Present
Tiaa-Cref Individual & Institutional Services, LLC (HAMDEN CT)
CO
08/26/2021 - 05/02/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CT
08/11/2008 - 10/29/2019
WELLS FARGO CLEARING SERVICES, LLC (ESSEX CT)
PA
02/27/2007 - 08/08/2008
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
CT
08/01/2003 - 02/28/2007
HARTFORD EQUITY SALES COMPANY INC. (MADISON CT)
FL
05/05/2003 - 07/15/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
MA
06/26/2001 - 10/28/2002
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
CT
02/10/1999 - 04/04/2001
AETNA INVESTMENT SERVICES, LLC (WINDSOR CT)
NY
04/10/1997 - 12/15/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/06/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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