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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 | 2021-12-06 |
Branch Locations
626 Clinton Avenue West Suite 100, Huntsville, AL 35801 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Huntsville | AL | 09/2011 | 05/2021 |
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2021 | Present |
| Smith Thorton Advisors, Llc | Huntsville | AL | 09/2011 | 05/2021 |
| Smith Thorton Advisors, Llc | Huntsville | AL | 05/2021 | Present |
The Jane K. Lowe Charitable Foundation - Investment Related - 307 Clinton Ave. Ste 305, Huntsville, AL 35801 - Trustee in Charitable Trust - Start: 08/2019 - 10 hours/10 trading hours per month - Supervise Investment portfolio, grants and office administration. ~~~ Smith Thornton Advisors, LLC - Investment Related - 626 Clinton Ave. West, Ste. 100, Huntsville, AL, 35801 - Registered Investment Advisor - Start: 02/2021 - 160 Hours/160 Trading hours per mo. - Manage Portfolios. ~~~ Insurance Sales; Investment Related; 626 Clinton Ave. West, Suite 100, Huntsville, AL 35801; Sales of Annuity and Insurance Products; Licensed Agent; May, 2021; 5 hrs/mo; 5hrs during trading; This is for the insurance business I do as an agent licensed through PKS Insurance Services. We do primarily annuity sales and service to existing contracts with some life insurance sales (term, variable, whole life).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 1984-12-21 |
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