Stuart E. Thorn
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.
Stuart Ellis Thorn, CFP® was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1980. Stuart had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
August 3, 2009 - October 11, 2010
FOOTHILL SECURITIES, INC.
June 30, 1999 - August 3, 2009
CUE FINANCIAL GROUP, INC.
September 2, 1988 - June 22, 1999
LPL FINANCIAL LLC
July 29, 1983 - September 6, 1988
A. G. EDWARDS & SONS, INC.
September 23, 1980 - August 6, 1983
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 9/21/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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