Thornton T. Williams
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.
Thornton Thomas Williams, who also goes by Thornton T Williams, Thornton Williams, was a registered financial professional .
Thornton is a previously registered financial professional and started their career in finance in 1998. Thornton had worked at 5 firms and has passed the Series 63, SIE 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
January 14, 2020 - March 13, 2023
TORINO CAPITAL LLC
December 15, 2010 - October 31, 2018
VALLEY FINANCIAL MANAGEMENT, INC.
April 10, 2006 - July 27, 2009
COMMERZ MARKETS LLC
March 5, 2001 - July 11, 2003
UBS SECURITIES LLC
March 9, 1998 - March 12, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TORINO CAPITAL LLC
CRD#: 157525 / SEC#: , 8-68855
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
