Frederick G. Thornes
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.
Frederick Gordon Thornes was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1968. Frederick had worked at 5 firms and has passed the Series 63, Series 1, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 1996 - March 20, 2002
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
November 5, 1982 - September 5, 1996
PAINTER, SMITH AND AMBERG INC.
February 24, 1978 - May 16, 1983
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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
Series 1
Date: 7/6/1961
Registered Representative ExaminationCurrent Firm
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
CRD#: 40868 / SEC#: , 8-49215
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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