Richard J. Smith

SMITH THORNTON ADVISORS

Huntsville, AL 35801

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CRD#: 1338524

Professional summary

Richard Joseph Smith, who also goes by Rick Smith, is a registered financial advisor currently at SMITH THORNTON ADVISORS, LLC located in Huntsville, Alabama and PURSHE KAPLAN STERLING INVESTMENTS located in Huntsville, Alabama.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 6, 2021 - Present

SMITH THORNTON ADVISORS, LLC

Office #1: 626 Clinton Avenue West Suite 100, Huntsville, AL 35801

RIA

CRD#: 312537

Huntsville, AL

Current

May 24, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 626 Clinton Ave., West Suite 100, Huntsville, AL 35801

CRD#: 35747

Huntsville, AL

Past

September 9, 2011 - June 21, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HUNTSVILLE, AL

Past

September 9, 2011 - June 21, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

HUNTSVILLE, AL

Past

June 10, 1991 - September 12, 2011

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

HUNTSVILLE, AL

Past

October 22, 1987 - September 12, 2011

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

HUNTSVILLE, AL

Past

January 29, 1985 - November 10, 1987

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SMITH THORNTON ADVISORS, LLC

CRD#: 312537 / SEC#: 801-120351

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/22/2021)

IAR

Alabama
(12/6/2021)

Florida
(5/24/2021)

Georgia
(5/24/2021)

North Carolina
(5/24/2021)

Tennessee
(6/23/2021)

IAR

Texas
(8/14/2024)

Virginia
(8/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/1/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/18/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 12/11/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

SMITH THORNTON ADVISORS, LLC

CRD#: 312537 / SEC#: 801-120351

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

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Contact information

Main Address

626 Clinton Avenue West Suite 100, Huntsville, AL 35801

Mailing Address

Phone number

(256) 715-7715

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STA ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	782
AUM (Assets Under Management)	$ 733,591,812

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

AMSOUTH INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SMITH THORNTON ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/1994

Series 63

Date: 12/21/1984

SIE

Date: 10/1/2018

Series 3

Date: 6/1/1990

Series 7

Date: 5/17/1986

Series 22

Date: 12/18/1984

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 12/11/1987

FINRA

Current Firm

SMITH THORNTON ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH THORNTON ADVISORS, LLC

TRUST BUT VERIFY

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