Joanne L. 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.
Joanne L. Thornton, who also goes by Joanne Michele Liebenguth, Joanne Liebenguth Thornton, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1995. Joanne had worked at 8 firms and has passed the Series 63, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - February 4, 2013
GUGGENHEIM SECURITIES, LLC
November 1, 2010 - November 2, 2010
COWEN PRIME SERVICES LLC
November 1, 2010 - December 1, 2011
MF GLOBAL INC.
March 20, 2009 - November 2, 2010
SANDERS MORRIS LLC
November 10, 2004 - March 12, 2009
STANFORD GROUP COMPANY
September 3, 2000 - November 9, 2004
UBS CAPITAL MARKETS L.P.
November 1, 1996 - November 9, 2004
CHARLES SCHWAB & CO., INC.
August 18, 1995 - November 1, 1996
LYNCH, JONES & RYAN LLC
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
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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