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AT

Aaron B. Thomas

Some features on this profile are disabled
CRD#: 5110691
AT

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Aaron Bradley Thomas was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2006. Aaron had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 17, 2014 - November 12, 2015

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

November 13, 2014 - November 12, 2015

HATTERAS INVESTMENT PARTNERS, LP

RIA
CRD#: 170628
RALEIGH, NC
Past

October 22, 2012 - August 8, 2014

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
RALEIGH, NC
Past

September 28, 2012 - August 19, 2014

STERLING CAPITAL MANAGEMENT LLC

RIA
CRD#: 135405
RALEIGH, NC
Past

September 7, 2010 - March 25, 2011

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
RALEIGH, NC
Past

September 1, 2010 - March 25, 2011

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
RALEIGH, NC
Past

June 18, 2008 - June 24, 2010

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
RALEIGH, NC
Past

June 18, 2008 - June 24, 2010

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
RALEIGH, NC
Past

January 19, 2007 - May 23, 2008

EDWARD JONES

RIA
CRD#: 250
RALEIGH, NC
Past

May 23, 2006 - May 23, 2008

EDWARD JONES

BD
CRD#: 250
RALEIGH, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/5/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/25/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2006
General Securities Representative Examination

Current Firm

HC
HATTERAS CAPITAL DISTRIBUTORS, LLC
HATTERAS CAPITAL | TAILWIND CAPITAL DISTRIBUTORS, LLC | HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365 / SEC#: , 8-67555

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
Mailing Address
8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
Phone number
(919) 846-2324
Established
North Carolina since 01/04/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HATTERAS INVESTMENT PARTNERS, LPOWNER170628
MASTERS, KEVIN CRAWFORDFINOP, POO, PFO2730013
PERKINS, DAVID BRIENFOUNDER/CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER1824251

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.

Company Information

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

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