James H. Thornton
Professional summary
James Harvey Thornton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, James had worked at 3 firms, which includes RETIREMENT INVESTMENT GROUP, RAYMOND JAMES FINANCIAL SERVICES INC., FINANCIAL SERVICE CORPORATION OF AMERICA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 1977 - March 5, 1999
RETIREMENT INVESTMENT GROUP
April 24, 1975 - April 21, 1977
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 3, 1969 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
State Registrations and Notice Filings
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Exams
Series 1
Date: 5/27/1969
Registered Representative ExaminationF04
Date: 12/23/1977
Financial Principal ExaminationSeries 40
Date: 5/27/1977
Registered Principal ExaminationCurrent Firm
RETIREMENT INVESTMENT GROUP
CRD#: 7421 / SEC#: , 8-23050
Contact information
Documents
Red Flags
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