Ryan T. 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.
Ryan Thomas Thornton was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2001. Ryan had worked at 8 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 31, 2022 - October 19, 2023
WATERWAY CAPITAL LLC
April 13, 2015 - February 18, 2020
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 28, 2013 - February 20, 2015
MACQUARIE CAPITAL (USA) INC.
May 16, 2011 - March 28, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
February 10, 2006 - May 16, 2011
DEUTSCHE BANK SECURITIES INC.
August 23, 2004 - February 17, 2006
LEHMAN BROTHERS INC.
February 6, 2004 - August 5, 2004
RBC CAPITAL MARKETS CORPORATION
May 11, 2001 - February 6, 2004
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WATERWAY CAPITAL LLC
CRD#: 128212 / SEC#: , 8-66108
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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