James M. Thornton

VESTGEN ADVISORS | Financial Advisor

Chicago, IL 60606

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CRD#: 2859113

Professional summary

James M Thornton, who also goes by James Michael Thornton, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Michael 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)Name of Business: NFL Address: SOLDIER FEILD CHICAGO, CHICAGO, IL, 60605, United States Activity Type: Other Position/Title: Coach Investment Related: No Start Date: 09/17/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: FIELD COMPLIANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James M Thornton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 1, 2025 - Present

VESTGEN ADVISORS, LLC

Office #1: One North Franklin 20th Floor, Chicago, IL 60606

RIA

CRD#: 8209

RIVERWOODS, IL

Past

March 12, 2007 - April 2, 2007

CRD#: 17490

CLEVELAND, OH

Past

May 1, 2002 - February 11, 2003

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

December 4, 2001 - February 11, 2003

HARRISDIRECT LLC

RIA

CRD#: 42159

LAKE FOREST, IL

Past

November 10, 2001 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

April 7, 2000 - December 6, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(10/1/2025)

IAR

Texas
(10/1/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/26/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2000

General Securities Representative Examination

Current Firm

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

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Contact information

Main Address

1605 West Colonial Parkway, Inverness, IL 60067

Mailing Address

Phone number

(312) 237-4446

Established

Firm type

Fiscal year end

# of Employees

115

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTGEN ADVISORS - WRAP FEE BROCHURE (3/31/2025)

VGA - ADV FORM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,800
AUM (Assets Under Management)	$ 3,470,310,102

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James M. Thornton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James M Thornton's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

HARRISDIRECT LLC

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2014

Series 65

Date: 5/26/2000

Series 63

Date: 5/11/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/5/2000

Current Firm

VESTGEN ADVISORS, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTGEN ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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