AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JT

Jonathan D. Thornton

OPTSECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 5095799
JT

Professional summary

Jonathan David Thornton, who also goes by Jonathan Thornton, is a registered financial professional currently at OPTSECURITIES, LLC located in Charlotte, North Carolina.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2008. Jonathan has worked at 2 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Thornton

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan David Thornton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 25, 2018 - Present

OPTSECURITIES, LLC

Office #1: 200 S. College St. 16th Floor, Charlotte, NC, 28202
BD
CRD#: 47529
CHARLOTTE, NC
Past

February 1, 2008 - April 11, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(7/26/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/13/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/24/2018
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OPTSECURITIES, LLC
OPT CAPITAL, LLC | OPTSECURITIES, LLC | OPT SECURITIES, LLC

CRD#: 47529 / SEC#: , 8-51811

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Mailing Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Phone number
(704) 731-5990
Established
North Carolina since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OPTCAPITAL, LLCSOLE MEMBER
EHRHART, RICHARD DANACEO AND CHIEF SUPERVISORY OFFICER2653050
EHRHART, RICHARD DANACHIEF COMPLIANCE OFFICER2653050
THORNTON, JONATHAN DAVIDCHIEF FINANCIAL OFFICER5095799

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

OPTSECURITIES, LLC

CRD#: 47529Charlotte, NC 28202

TRUST BUT VERIFY

Monitor Jonathan Thornton

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics