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Current Employers
Smith Thornton Advisors, Llc

626 Clinton Avenue West Suite 100, Huntsville, AL 35801 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-08-14
AL RA APPROVED 2021-03-08
  • TX RA
    APPROVED_RES
    Since 2024-08-14
  • AL RA
    APPROVED
    Since 2021-03-08

Branch Locations

626 Clinton Avenue West Suite 100, Huntsville, AL 35801 • 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
Wells Fargo Advisors Financial Network, Llc Huntsville AL 09/2011 03/2021
Smith Thornton Advisors, Llc Huntsville AL 03/2021 Present
Purshe Kaplan Sterling Investments Albany NY 03/2021 Present
Previous Registrations
Other Businesses

Power of attorney for mother - investment related - 2424 Crestwood Drive - POA - 3/2016 - 1 hour a month/0 trading hours a month - Acta as power of attorney when my mother is unable to act for herself signing medical and financial documents.______ Smith Thornton Advisors LLC - Investment related - 626 Clinton Ave W. Ste 100 Huntsville Al 35801 - RIA - Chief Compliance officer - 3/5/2021 - 35 hours a month/5 trading hours a month - I will support advisors and clients with operational issues. I will monitor and maintain compliance records for the firm. I will also perform the accounting functions for Smith Thornton Advisors. Notary Public. Not Investment Related. Located at 626 Clinton Ave W. Ste 100 Huntsville Al 35801. Nature - Notary for the State of Alabama. Position - Notary Public. Start - 09/2022. 0.6 hours per month, all during trading hours. Duties - Notarizing signatures for clients and co-workers.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1996-08-12
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1996-08-12
Other Names
  • Donna M Ryberg

View on SEC IAPD

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