James E. Thornton

FIFTH POINTE

Richmond, VA

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CRD#: 7487776

Professional summary

James E. Thornton Jr, who also goes by James E. Thornton, James Edward Thornton, is a registered financial advisor currently at FIFTH POINTE located in Richmond, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. James has worked at 2 firms and has passed the Series 65 and Series 63 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James E. Thornton | James Edward 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.

Fifth Pointe Financial LLC; none investment related; PO BOX 26246, Richmond, VA 23260; P&C insurance, Health Insurance; Owner; 05/2017; accounts for approximately 25% of time; advising and selling P&C and health insurance related products;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E. Thornton Jr'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

April 21, 2023 - Present

FIFTH POINTE

RIA

CRD#: 324305

Richmond, VA

Past

January 21, 2022 - January 30, 2023

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

Richmond, VA

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

Maryland
(9/27/2023)

IAR

Virginia
(4/21/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/2020

Uniform Securities Agent State Law Examination

Current Firm

FIFTH POINTE

FIFTH POINTE | FIFTH POINTE WEALTH ADVISORS LLC

CRD#: 324305 / SEC#:

Maryland

Registered Investment Advisory firm - (9/27/2023 Approved)

Virginia

Registered Investment Advisory firm - (4/21/2023 Approved)

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Contact information

Main Address

Richmond, VA

Mailing Address

P.o. Box 26246, Richmond, VA 23260

Phone number

(804) 543-7762

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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James E. Thornton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E. Thornton Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIFTH POINTE

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2021

Series 63

Date: 12/22/2020

Current Firm

FIFTH POINTE

Contact information

Documents

Red Flags

Company Information

FIFTH POINTE

TRUST BUT VERIFY

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