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TT

Timothy H. Thornton

FHN FINANCIAL SECURITIES
Boyne City, MI 49712
Some features on this profile are disabled
CRD#: 1312631
TT

Professional summary

Timothy Hobart Thornton SR, who also goes by Tim Thornton, Timothy Hobart Thornton, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Boyne City, Michigan.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1988. Timothy has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim Thornton | Timothy Hobart Thornton

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 Timothy Hobart Thornton SR'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 1, 2017 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 1 Water Street Suite 205, Boyne City, MI 49712
BD
CRD#: 46346
Boyne City, MI
Past

July 2, 2012 - March 3, 2017

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
NEW YORK, NY
Past

March 17, 1997 - July 13, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 6, 1991 - March 10, 1997

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

April 15, 1988 - May 23, 1991

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
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

RR
California
(5/1/2017)
RR
Connecticut
(5/1/2017)
RR
Hawaii
(11/19/2021)
RR
Massachusetts
(9/8/2021)
RR
Michigan
(7/21/2025)
RR
Minnesota
(8/22/2017)
RR
New Hampshire
(5/1/2017)
RR
New Jersey
(5/1/2017)
RR
New York
(5/1/2017)
RR
Pennsylvania
(5/24/2017)
RR
Texas
(5/5/2017)
RR
Virginia
(9/8/2021)
RR
Washington
(8/28/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/13/2020
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/23/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/23/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FHN FINANCIAL SECURITIES CORP.
FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Mailing Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Phone number
(901) 435-8080
Established
Tennessee since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST HORIZON BANKSHAREHOLDER
BUCK, WILLIAM JAMES IIPRINCIPAL OPERATING OFFICER3129662
DABROWSKI, MARK GERARDCHIEF COMPLIANCE OFFICER2065647
GRIFFIN, MARK DANIELSVP, RISK CONTROL MANAGER7462222
JACKSON, JEFF BRIANSVP/ TRADING MANAGER2777631
RITCHESON, DONALD ALLENPRINCIPAL FINANCIAL OFFICER / CFO2360009
ROMANOW, TIMOTHY MARKPRESIDENT/CEO2533445
WADDELL, MICHAEL KNOXEVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY5657529

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346Boyne City, MI 49712

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