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James Henry Thomforde

Morgan Stanley

Ithaca, NY

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED 2020-04-23
NJ RA APPROVED 2018-08-15
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED
    Since 2020-04-23
  • NJ RA
    APPROVED
    Since 2018-08-15

Branch Locations

130 East Seneca Street Suite 500, Ithaca, NY 14850 • 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
Christian Union Princeton NJ 06/2012 Present
Morgan Stanley Smith Barney Llc Ithaca NY 06/2018 08/2018
Morgan Stanley Private Bank, N.A. New York NY 09/2018 Present
Morgan Stanley Smith Barney Llc Ithaca NY 08/2018 Present
  • 06/2012 → Present
    Christian Union
    Princeton, NJ
  • 06/2018 → 08/2018
    Morgan Stanley Smith Barney Llc
    Ithaca, NY
  • 09/2018 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 08/2018 → Present
    Morgan Stanley Smith Barney Llc
    Ithaca, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-08
S63 Uniform Securities Agent State Law Examination 2002-09-10
  • S66 Uniform Combined State Law Examination
    2018-08-08
  • S63 Uniform Securities Agent State Law Examination
    2002-09-10
Other Names
  • Jim Thomforde
  • James Henry Thomforde
  • James Henry Thomforde

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · ITHACA, NY
CORNELL POCHILY INVESTMENT ADVISORS, INC. · ITHACA, NY
LPL FINANCIAL LLC · ITHACA, NY
EDWARD JONES · ITHACA, NY
LPL FINANCIAL LLC · ITHACA, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Ithaca, NY
EDWARD JONES · ITHACA, NY
EQUITABLE ADVISORS, LLC · ITHACA, NY

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