Todd M. Thorne
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.
Todd Michael Thorne was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1992. Todd had worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2016 - December 31, 2018
THORNE TRADING & INVESTMENT MANAGEMENT
February 19, 2015 - December 31, 2015
THORNE TRADING & INVESTMENT MANAGEMENT
August 27, 2013 - December 31, 2013
THORNE TRADING & INVESTMENT MANAGEMENT
June 10, 2010 - December 31, 2012
THORNE TRADING & INVESTMENT MANAGEMENT
July 28, 2005 - December 31, 2008
THORNE TRADING & INVESTMENT MANAGEMENT
April 23, 2003 - May 10, 2004
CITIGROUP GLOBAL MARKETS INC.
October 18, 1999 - May 10, 2004
CITIGROUP GLOBAL MARKETS INC.
March 4, 1992 - July 19, 1995
BANC ONE CAPITAL MARKETS, INC.
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
THORNE TRADING & INVESTMENT MANAGEMENT
CRD#: 133309 / SEC#:
Contact information
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.
