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JT

James A. Thornton

ELEVATE WEALTH ADVISORS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 7130321
JT

Professional summary

James Anthony Thornton, who also goes by Tony Thornton, is a registered financial advisor currently at ELEVATE WEALTH ADVISORS, LLC located in Newport Beach, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tony 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.
Elevate Financial & Insurance Services, LLC Insurance No investment relations 4675 MacArthur Ct Suite 1430 Newport Beach, CA 92660 Chief Financial Planner Start: 11/2021 40+ Hours per week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony 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

March 1, 2023 - Present

ELEVATE WEALTH ADVISORS, LLC

Office #1: 20251 Sw Acacia Street Suite 200, Newport Beach, CA 92660
RIA
CRD#: 323825
Newport Beach, CA
Past

September 26, 2024 - April 9, 2025

ELEVATE CAPITAL GROUP, LLC

RIA
CRD#: 332775
NEWPORT BEACH, CA
Past

June 20, 2022 - November 15, 2022

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEWPORT BEACH, CA
Past

October 29, 2021 - November 15, 2022

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEWPORT BEACH, CA
Past

August 14, 2020 - October 12, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEWPORT BEACH, CA

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(3/1/2023)
IAR
Texas
(11/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/1/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/13/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/9/2020
Securities Industry Essentials Examination

Current Firm

EW
ELEVATE WEALTH ADVISORS, LLC
ELEVATE FINANCIAL & INSURANCE SERVICES, LLC | SPEARHEAD ADVISORS, LLC | ELEVATE WEALTH ADVISORS, LLC

CRD#: 323825 / SEC#:

California
Registered Investment Advisory firm - (3/1/2023 Approved)
Texas
Registered Investment Advisory firm - (4/10/2024 Conditional Restricted)
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Contact information

Main Address
4675 Macarthur Court Suite 1430, Newport Beach, CA 92660
Mailing Address
Phone number
(949) 978-0326
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts163
AUM (Assets Under Management)$ 17,757,653

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

ELEVATE WEALTH ADVISORS, LLC

CRD#: 323825Newport Beach, CA 92660

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