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JOHN THOMAS THORNES
CRD#: 2097878
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1998200020022004200620082010201220142016IATHORNES & ASSOCIATES, INC. (CRD# 40868)1997 - 2013 (16 years)
Disclosure(s)
View By:
8/7/2015
Regulatory
Final
5/4/2015
Regulatory
Final
8/4/2014
Civil
Final
6/18/2013
Customer Dispute
Award / Judgment
Previous Registration(s)
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IA
07/08/1997 - 09/29/2013 THORNES & ASSOCIATES, INC. (CRD#:40868) REDLANDS, CA
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.