Sirisomphone Thavorn
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.
Sirisomphone Thavorn, who also goes by Siri Thavorn, was a registered financial professional .
Sirisomphone is a previously registered financial professional and started their career in finance in 2013. Sirisomphone had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2023 - April 28, 2025
PRIME CAPITAL FINANCIAL
August 16, 2022 - June 7, 2023
STONNINGTON GROUP, LLC
July 17, 2017 - April 17, 2019
FORESIDE FUND SERVICES, LLC
April 23, 2013 - April 21, 2015
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
PRIME CAPITAL FINANCIAL
CRD#: 288712 / SEC#: 801-110709
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
Current Firm
PRIME CAPITAL FINANCIAL
CRD#: 288712 / SEC#: 801-110709
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 44,399 |
| AUM (Assets Under Management) | $ 30,111,066,570 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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