Joseph D. Thornton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Dorsey Thornton, who also goes by Joseph Dorsey Thornton Jr, Joseph Dorsey Thornton, Sonny Thornton, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - January 25, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 2012 - January 25, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 1994 - March 13, 2012
OSAIC FA, INC.
July 2, 1994 - April 11, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 2, 1994 - March 13, 2012
OSAIC FA, INC.
August 23, 1989 - August 3, 1994
WALNUT STREET SECURITIES, INC.
July 25, 1988 - July 10, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 25, 1988 - July 10, 1989
EQUITABLE ADVISORS, LLC
January 14, 1987 - July 14, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 14, 1987 - July 14, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 14, 1987 - July 14, 1988
OSAIC FA, INC.
July 11, 1985 - January 19, 1987
ILG SECURITIES CORPORATION
March 23, 1984 - May 28, 1985
METROPOLITAN LIFE INSURANCE COMPANY
March 23, 1984 - May 28, 1985
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
