Individual Firm
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Matthew Thorne
MATTHEW LUMBERT THORNE
CRD#: 7191083
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 340 JESSE JEWEL PKWY
GAINESVILLE, GA 30501
GAINESVILLE, GA 30501
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
Alabama 6/11/2024
B
South Carolina 6/11/2024
B
Florida 6/11/2024
B
Tennessee 6/11/2024
B
Georgia 6/7/2024
B
Texas 6/11/2024
IA
Georgia 6/10/2024
IA
Texas 6/18/2024
B
North Carolina 6/11/2024
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/10/2024
B
Registered with this firm since 6/7/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2023 - 05/24/2024 | Alpharetta, GA | |
B | 06/01/2023 - 05/24/2024 | PURCHASE, NY | |
IA | 03/09/2023 - 05/11/2023 | Atlanta, GA | |
B | 11/19/2019 - 05/11/2023 | Atlanta, GA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.