Gregory J. 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.
Gregory John Thornton, who also goes by Greg Thornton, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1991. Gregory had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - December 16, 2019
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
June 23, 2005 - December 2, 2011
GOLDMAN SACHS CUSTODY SOLUTIONS
October 1, 2004 - May 20, 2005
GUARANTY BROKERAGE SERVICES, INC.
September 4, 2003 - October 9, 2003
BANC ONE SECURITIES CORPORATION
September 4, 2003 - October 9, 2003
BANC ONE SECURITIES CORPORATION
June 27, 2002 - June 11, 2003
E*TRADE ADVISORY SERVICES, INC.
February 5, 2002 - June 11, 2003
E*TRADE SECURITIES LLC
October 15, 1993 - November 30, 2001
TD AMERITRADE, INC.
September 27, 1991 - May 8, 1992
MURCHISON INVESTMENT BANKERS, INC.
July 3, 1991 - October 7, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
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
Series 8
Date: 9/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
Contact information
SEC notice filing (26 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 956,132,091 |
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.
