Katherine Hackney Thomas
Professional Summary
Katherine Hackney Thomas, who also goes by Katherine Ann Hackney, Katherine Ann Hackney Thomas, is a registered financial advisor currently at INVESTMENT DISTRIBUTORS, INC. located in Birmingham, Alabama. Katherine is registered as a RR (Registered Representative) and started their career in finance in 2009. Katherine has worked at 2 firms and has passed the SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katherine Ann Hackney, Katherine Ann Hackney Thomas
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Current Firm
INVESTMENT DISTRIBUTORS, INC.
Contact Information
Main Address
2801 Highway 280 South, Birmingham, AL 35223Mailing Address
2801 Highway 280 South, Birmingham, AL 35223Phone Number
(205) 268-5202Established
Tennessee since 08/30/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | — |
| BAGGETT, ALAN S | ASSISTANT FINANCIAL OFFICER | 8088232 |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEOPARD, RAMONA MARTIN | ASSISTANT SECRETARY | 8312207 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| PEEVY, MELINDA LUCAS | SECRETARY | 8235249 |
| TENNENT, RAYBURN EDWARD | ASSISTANT FINANCIAL OFFICER | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
Regulatory Event
1Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2009About the Series 6 examSRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Katherine Hackney Thomas's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
RBC CAPITAL MARKETS, LLC