James M Thornton

Current Employers

Employment History

• 07/2013 → 09/2020
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  Oak Brook, IL
• 04/2014 → 09/2020
  Bank Of America, N.A.
  Oak Brook, IL
• 09/2020 → 09/2025
  Raymond James Financial Services, Inc.
  Downers Grove, IL
• 09/2020 → 09/2025
  Raymond James Financial Services Advisors, Inc.
  Downers Grove, IL
• 09/2020 → Present
  Nfl
  Chicago, IL
• 09/2020 → 10/2025
  The Lat Group
  Downers Grove, IL
• 09/2025 → Present
  Vestgen Advisors, Llc.
  Chicago, IL

Previous Registrations

• 2020-09-17 → 2025-10-03
  Raymond James Financial Services Advisors, Inc
  Downers Grove, IL
• 2013-09-13 → 2020-09-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oak Brook, IL
• 2012-08-01 → 2013-05-02
  Tlg Advisors, Inc.
  Chicago, IL
  Summit, NJ
• 2007-06-20 → 2009-03-05
  Credit Suisse Securities (Usa) Llc
  Northbrook, IL
  Chicago, IL
• 2007-04-02 → 2007-06-26
  Morgan Stanley & Co. Llc
  Riverwoods, IL
• 2007-02-20 → 2007-04-02
  Morgan Stanley Dw Inc.
  Riverwoods, IL
• 2004-09-10 → 2005-03-07
  Natcity Investments, Inc.
  Peoria, IL
• 2001-12-04 → 2003-02-11
  Harrisdirect Llc
  Lake Forest, IL

Other Businesses

(1)Name of Business: NFL Address: SOLDIER FEILD CHICAGO, CHICAGO, IL, 60605, United States Activity Type: Other Position/Title: Coach Investment Related: No Start Date: 09/17/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: FIELD COMPLIANCE

Exams

• S66 Uniform Combined State Law Examination
  2014-02-13
• S65 Uniform Investment Adviser Law Examination
  2000-05-26
• S63 Uniform Securities Agent State Law Examination
  2000-05-11

Other Names

• James Michael Thornton