TA

Thomas R. Atkins

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CRD#: 5952508
TA

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.

Thomas Ray Atkins II, who also goes by Thomas Ray Atkins, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2011. Thomas had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Thomas Ray Atkins

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.

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

March 3, 2015 - July 2, 2015

HATTERAS INVESTMENT PARTNERS, LP

RIA
CRD#: 170628
RALEIGH, NC
Past

March 3, 2015 - July 2, 2015

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

April 9, 2013 - February 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RALEIGH, NC
Past

April 9, 2013 - February 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RALEIGH, NC
Past

February 13, 2012 - July 2, 2012

WADDELL & REED

RIA
CRD#: 866
RALEIGH, NC
Past

February 13, 2012 - July 2, 2012

WADDELL & REED

BD
CRD#: 866
RALEIGH, NC
Past

August 25, 2011 - November 14, 2011

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
HI
HATTERAS INVESTMENT PARTNERS, LP
HATTERAS FUND ADVISERS LLC | TAILWIND INVESTMENT PARTNERS, LP | SCOTLAND ACQUISITION LLC | HATTERAS INVESTMENT PARTNERS, LP | HATTERAS INVESTMENT PARTNERS | HATTERAS FUNDS, LP | HATTERAS FUNDS, LLC

CRD#: 170628 / SEC#: 801-79326

RIA
Registered Investment Advisory firm - (3/14/2014 Approved)

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: 9/16/2011
Uniform Combined State Law Examination
General Industry/Product Exam
General Industry/Product Exam

Current Firm


HI
HATTERAS INVESTMENT PARTNERS, LP
HATTERAS FUND ADVISERS LLC | TAILWIND INVESTMENT PARTNERS, LP | SCOTLAND ACQUISITION LLC | HATTERAS INVESTMENT PARTNERS, LP | HATTERAS INVESTMENT PARTNERS | HATTERAS FUNDS, LP | HATTERAS FUNDS, LLC

CRD#: 170628 / SEC#: 801-79326

RIA
Registered Investment Advisory firm - (3/14/2014 Approved)
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Contact information


Main Address
8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615
Mailing Address
Phone number
(919) 846-2324
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (1 States and Territories)


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

Regulatory assets under management


Total Number of Accounts7
AUM (Assets Under Management)$ 187,768,848

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 INVESTMENT PARTNERS, LP

CRD#: 170628

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