James C. Thorne
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 Christopher Thorne was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 6 firms and has passed the Series 66 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
July 28, 2010 - June 3, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
July 28, 2010 - June 3, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
July 6, 2005 - July 16, 2010
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - July 16, 2010
CHASE INVESTMENT SERVICES CORP.
August 13, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
August 13, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 23, 2004 - August 12, 2004
CHASE INVESTMENT SERVICES CORP.
March 15, 2004 - August 12, 2004
CHASE INVESTMENT SERVICES CORP.
January 22, 2003 - March 8, 2004
EDWARD JONES
February 20, 2002 - February 5, 2003
RBC CAPITAL MARKETS, LLC
August 16, 2001 - February 5, 2003
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
Red Flags
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