Herbert Thornton, financial advisor Red Bank NJ

Herbert Thornton

CRD Number: 1218939
Current Firm: Oppenheimer & Company Inc.

Herbert Thornton (CRD# 1218939) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Red Bank, NJ and has over 39 years of experience in the finance industry.

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Company Name Location Dates Years
Oppenheimer & Company Inc. Red Bank, NJ Jan 2019 - Current 5
Wells Fargo Clearing Services, LLC Middlesex, NJ Nov 2016 - Jan 2019 2
Wells Fargo Advisors LLC Middlesex, NJ May 2009 - Nov 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1984
S65 NASAA Investment Advisors Law Examination Apr 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Herbert S. Thornton
Phone Number: 212-668-8000
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    27,451
    MILLIONS
  • Total Number of Accounts
    34,493
    ACCOUNTS
  • Average Account Value
    $795,850
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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