AT
Anthony S. Thornton
REGAL INVESTMENT ADVISORS LLC
Sugarland, TX
Some features on this profile are disabled
CRD#: 1335382
AT
Professional summary
Anthony Steven Thornton, who also goes by Steve Thornton, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Sugarland, Texas and REGULUS FINANCIAL GROUP, LLC located in Sugarland, Texas.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Anthony has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve 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.
(1) THORNTON WEALTH MANAGEMENT; INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; LLC FOR SECURITIES BUSINESS; OWNER; STARTED 10/1/1997; APX 160 HOURS/MONTH; DBA NAME (2)LICENSED INSURANCE AGENT. DEVOTES APPROX 40+ HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Steven Thornton'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®
NoneExperience
Current
March 12, 2019 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Sugarland, TX
Current
March 12, 2019 - Present
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Sugarland, TX
Past
February 8, 2019 - February 27, 2019
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
Fort Worth, TX
Past
February 8, 2019 - February 27, 2019
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
Fort Worth, TX
Past
September 1, 2016 - February 15, 2019
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
FORT WORTH, TX
Past
September 1, 2016 - February 15, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
FORT WORTH, TX
Past
February 7, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
FORT WORTH, TX
Past
July 25, 2002 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
BEDFORD, TX
Past
March 9, 2001 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
FORT WORTH, TX
Past
April 14, 2000 - March 9, 2001
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
July 15, 1997 - April 4, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 7, 1985 - March 11, 1986
UNI-PETRO SECURITIES CORP.
BD
CRD#: 15026
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Texas(3/12/2019)
IAR
Texas(3/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
