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Douglas Roy Thornton

Equitable Advisors, LLC

Rock Hill, SC

CRD 4043360

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Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2009-04-02
NC RA APPROVED 2005-06-01
  • SC RA
    APPROVED
    Since 2009-04-02
  • NC RA
    APPROVED
    Since 2005-06-01

Branch Locations

Rock Hill, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 06/2005 06/2020
Equitable Advisors, Llc New York NY 06/2005 Present
Previous Registrations
  • 2003-10-09 → 2005-06-01
    Mony Securities Corporation
    Charlotte, NC
Other Businesses

Rental Property (owner)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-18
S63 Uniform Securities Agent State Law Examination 1999-11-05
  • S66 Uniform Combined State Law Examination
    1999-12-18
  • S63 Uniform Securities Agent State Law Examination
    1999-11-05
Other Names
  • Doug Thornton

View on SEC IAPD

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