John B. Thorpe

INVESCO DISTRIBUTORS

Nokomis, FL

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CRD#: 1014850

Professional summary

John B Thorpe, who also goes by Jt Thorpe, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Nokomis, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1981. John has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jt Thorpe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John B Thorpe's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 25, 2019 - Present

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

Nokomis, FL

Past

May 29, 2015 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

June 1, 2009 - December 21, 2011

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - December 21, 2011

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

August 23, 1996 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BELLEVUE, WA

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BELLEVUE, WA

Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 8, 1983 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 10, 1981 - December 22, 1983

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Utah
(5/25/2019)

Exams

State Security Law Exam

Series 63

Date: 1/7/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/13/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/14/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/5/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046-1173

Phone number

(713) 214-1919

Established

Delaware since 11/18/1976

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESCO ADVISERS, INC.	DIRECT OWNER
GREGSON, MARK WILLIAM	CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP	2630230
HANCOCK, TRISHA BELL	CHIEF COMPLIANCE OFFICER	4373744
HARRIS, JERRY CLINTON II	DIRECTOR	3275064
KRAMER, BRIAN KEITH	DIRECTOR	4132102
MCDONOUGH, JOHN CARLIN	PRESIDENT/CEO/DIRECTOR	2363299
WISDOM, CRISSIE MCMENNAMY	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	2793857

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John B. Thorpe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John B Thorpe's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/7/2017

Series 65

Date: 7/13/1992

SIE

Date: 10/1/2018

Series 3

Date: 4/14/1998

Series 7

Date: 11/21/1981

Series 8

Date: 4/5/1994

FINRA

Current Firm

INVESCO DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESCO DISTRIBUTORS, INC.

TRUST BUT VERIFY

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