James W. 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.
James William Thornton, who also goes by James Thornton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2013 - February 24, 2014
SWIFT CAPITAL PARTNERS (E.E.)
May 3, 2004 - December 31, 2008
THORNTON FINANCIAL LLC
October 9, 2000 - April 17, 2002
T. ROWE PRICE INVESTMENT SERVICES, INC.
August 6, 1997 - November 2, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SWIFT CAPITAL PARTNERS (E.E.)
CRD#: 159454 / SEC#: 801-76911
Contact information
Red Flags
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