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Robert Deaton Smith

Thayer Financial, L.L.C.

Hickory, NC

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Current Employers
Thayer Financial, L.L.C.

439 4Th Street Sw, Hickory, NC 28602 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-09-17
NC RA APPROVED 2019-08-20
  • TX RA
    APPROVED_RES
    Since 2019-09-17
  • NC RA
    APPROVED
    Since 2019-08-20

Branch Locations

439 4Th Street Sw, Hickory, NC 28602 • 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 02/2016 04/2018
Thayer Financial, Llc Hickory NC 04/2018 Present
Thayer Financial - Sagepoint Financial Phoenix AZ 04/2018 08/2019
  • 02/2016 → 04/2018
    Axa Advisors, Llc
    New York, NY
  • 04/2018 → Present
    Thayer Financial, Llc
    Hickory, NC
  • 04/2018 → 08/2019
    Thayer Financial - Sagepoint Financial
    Phoenix, AZ
Previous Registrations
  • 2018-04-26 → 2019-08-15
    Osaic Services, Inc.
    Hickory, NC
    Cornelius, NC
    Hickory, NC
    Huntersville, NC
  • 2016-03-09 → 2018-04-27
    Equitable Advisors, Llc
    Hickory, NC
    Charlotte, NC
    Hickory, NC
    Hickory, NC
    Charlotte, NC
Other Businesses

ROKK Properties, LLC 439 4th Street SW Hickory, NC 28602 Holding company for office building. This is non-investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-02
S63 Uniform Securities Agent State Law Examination 2016-02-19
  • S65 Uniform Investment Adviser Law Examination
    2016-03-02
  • S63 Uniform Securities Agent State Law Examination
    2016-02-19
Designations
Other Names
  • Robert Smith
  • Deaton Smith

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC
ALPHASTAR CAPITAL MANAGEMENT
SOLLINDA CAPITAL MANAGEMENT LLC
CETERA INVESTMENT ADVISERS LLC
RBC CAPITAL MARKETS, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
TRUIST ADVISORY SERVICES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

RANDALL WAYNE RICE
MARK ANDREW DAVEY
SUSAN WRIGHT SINGLETON
Mitchell Ausden Sayers
Matthew Riley Whitt
DAVID ERIC VAN HORN
RYAN ANTHONY MUMY
ANDREW ELISHA RADER

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
SOLLINDA CAPITAL MANAGEMENT LLC · Hickory, NC
CETERA INVESTMENT ADVISERS LLC · HICKORY, NC
ALPHASTAR CAPITAL MANAGEMENT · Hickory, NC
RBC CAPITAL MARKETS, LLC · HICKORY, NC
BENJAMIN F. EDWARDS & COMPANY, INC. · Hickory, NC
TRUIST ADVISORY SERVICES, INC. · HICKORY, NC

More in Hickory, NC

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