Robert J. 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.
Robert James Thornton, who also goes by James R Thornton, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1967. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 000, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2000 - November 9, 2018
TOCQUEVILLE SECURITIES L.P.
December 18, 1989 - May 12, 2000
SCHRODER & CO. INC.
December 23, 1987 - December 21, 1989
MORGAN KEEGAN & COMPANY, LLC
May 19, 1978 - August 20, 1979
KIDDER, PEABODY & CO. INCORPORATED
April 3, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
July 28, 1977 - February 21, 1978
KUHN LOEB & CO. INCORPORATED
July 28, 1977 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
September 16, 1970 - August 23, 1977
KEYBANC CAPITAL MARKETS INC.
July 28, 1967 - February 10, 1988
E. F. HUTTON & COMPANY INC
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 000
Date: 7/28/1967
General Securities Principal ExaminationSeries 1
Date: 12/14/1964
Registered Representative ExaminationSeries 8
Date: 11/8/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/13/1970
Registered Principal ExaminationCurrent Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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