Russell David Thornock
Professional Summary
Russell David Thornock was a registered financial advisor. Russell was a previously registered financial professional and started their career in finance 1971 - 2009. Russell had worked at 3 firms and has passed the Series 63, Series 1, Series 24, Series 39, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
UINTA INVESTMENTS, INC.
Contact Information
Established
Arizona since 12/07/1995Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
Disclosures
Arbitration
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1971Series 39 — Direct Participation Programs Principal Examination
Passed Jan 1996About the Series 39 examF04 — Financial Principal Examination
Passed Aug 1978Series 40 — Registered Principal Examination
Passed Feb 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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