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626 Clinton Avenue West Suite 100, Huntsville, AL 35801 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-14 |
| AL | RA | APPROVED | 2021-03-08 |
Branch Locations
626 Clinton Avenue West Suite 100, Huntsville, AL 35801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-12 |
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