Steven C. Thornton

SMITH THORNTON ADVISORS

Huntsville, AL 35801

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CRD#: 1998251

Professional summary

Steven Curtis Thornton, AIF®, who also goes by Steve Thornton, is a registered financial advisor currently at SMITH THORNTON ADVISORS, LLC located in Huntsville, Alabama and PURSHE KAPLAN STERLING INVESTMENTS located in Huntsville, Alabama.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Steven has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Thornton

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.

1)VON BRAUN CENTER; NOT INV. RELATED; HUNTSVILLE, AL; BOARD MEMBER; CIVIC CENTER; START DATE 11/1/2018; 5 HRS PER MONTH; 3 HR DURING TRADING; DUTIES: ESTABLISHING POLICY, PROMOTING EVENTS AND ADVOCATING FOR THE USE OF THE VON BRAUN CENTER. 2)Smith Thornton Advisors--Investment related yes--626 Clinton Ave, W, Huntsville, AL 35801--RIA--Partner--Start 03/2021--Hours/month 200--hours/month during trading 130-- Financial advisor 3)Huntsville Sports Commission--Investment related NO--2411 9th ave, Huntsville AL 35801--Sports tourism--board member-- start 10/2012--hours/month 2--hours/month during trading 1--Establish policy 4)Smith Thornton Advisory 401K retirement plan--Investment related yes--626 Clinton ave w, Huntsville AL 35801--Retirement plan--Trustee--start 1/2013--hours/month 1--hours/month during trading 1--Plan administration

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Curtis Thornton'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 8, 2021 - Present

SMITH THORNTON ADVISORS, LLC

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

RIA

CRD#: 312537

Huntsville, AL

Current

March 5, 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 - March 8, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HUNTSVILLE, AL

Past

September 9, 2011 - March 8, 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

November 21, 1989 - September 12, 2011

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

HUNTSVILLE, AL

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

IAR

Alabama
(3/8/2021)

Alabama
(3/11/2021)

Florida
(3/5/2021)

Georgia
(3/5/2021)

North Carolina
(3/5/2021)

Tennessee
(3/5/2021)

IAR

Texas
(8/14/2024)

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: 4/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/25/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/6/2015

General Securities Sales Supervisor - Options Module Examination

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Steven C. Thornton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Curtis Thornton'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

Primary Firm SEC Registration

SMITH THORNTON ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/1995

Series 63

Date: 11/22/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/25/1990

Series 7

Date: 11/18/1989

Series 9

Date: 4/6/2015

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

Contact information

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