Teresa M. 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.
Teresa Mary Thornton, who also goes by Teresa Mary Agresta, Teresa M Agresta, Teresa Agresta, Teresa M Portfora, Teresa Mary Potfora, Teresa M Welsh, Teresa Mary Welsh, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 2001. Teresa had worked at 9 firms and has passed the Series 66, 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
April 13, 2017 - January 25, 2023
EDWARD JONES
April 11, 2017 - January 25, 2023
EDWARD JONES
April 29, 2016 - April 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2016 - April 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2015 - December 7, 2015
FLEMING FINANCIAL SERVICES
February 17, 2015 - May 18, 2015
BBVA SECURITIES INC.
August 29, 2014 - November 14, 2014
RBC CAPITAL MARKETS, LLC
August 29, 2014 - November 14, 2014
RBC CAPITAL MARKETS, LLC
November 19, 2012 - August 29, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 2012 - August 29, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2010 - May 10, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 8, 2010 - May 10, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 5, 2008 - February 13, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 12, 2008 - February 13, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 22, 2006 - August 21, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 10, 2001 - January 14, 2002
PARK AVENUE SECURITIES LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
