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James Michael Mlott

Thurston Springer Advisors

Indianapolis, IN

CRD 1322136

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Employer firm

Thurston Springer Advisors CRD 299201

$3.68B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers
Thurston Springer Advisors

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2020-08-25
  • IN RA
    APPROVED
    Since 2020-08-25

Branch Locations

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • 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
Thurston, Springer, Miller, Herd & Titak, Inc. Indianapolis IN 06/2009 Present
  • 06/2009 → Present
    Thurston, Springer, Miller, Herd & Titak, Inc.
    Indianapolis, IN
Previous Registrations
  • 2008-01-01 → 2009-06-15
    Wells Fargo Clearing Services, Llc
    Indianapolis, IN
  • 1998-12-30 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Indianapolis, IN
    Indianapolis, IN
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-12-10
  • S63 Uniform Securities Agent State Law Examination
    1984-12-10

View on SEC IAPD

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Nearby Offices

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