John T. Thornes
Professional summary
John Thomas Thornes was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, John had worked at 2 firms, which includes THORNES & ASSOCIATES INC. INVESTMENT SECURITIES, PAINTER SMITH AND AMBERG INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - September 29, 2013
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
August 22, 1996 - July 18, 2013
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
January 16, 1992 - September 5, 1996
PAINTER, SMITH AND AMBERG INC.
State Registrations and Notice Filings
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Exams
Current Firm
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
CRD#: 40868 / SEC#: , 8-49215
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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