Hailey A. Thorn
SUNBELT SECURITIES
Southlake, TX 76092
Some features on this profile are disabled
CRD#: 6093905
Professional summary
Hailey A Thorn, CFP®, who also goes by Hailey A Thorn, Hailey Alexandra Thorn, Hailey Thorn, Hailey A Zeiler, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Southlake, Texas.
Hailey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Hailey has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hailey A Thorn | Hailey Alexandra Thorn | Hailey Thorn | Hailey A Zeiler
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) TFG Investment Group (DBA): Investment Related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. DBA under Sunbelt Securities, Inc. DBA - Doing Business As. Registered Representative. Start: 01/2020. Sunbelt. 40 hours a week, during trading hours. 2) Thorn Financial Group LLC (OBA): Not investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. Income tax preparation. Tax preparer. No relationship. Start 01/2020. 40 hours during tax season, some during trading hours. 3) Life Insurance (OBA): Not investment related. 370 S Nolen Dr, Ste 100, Southlake, TX 76092. Life Insurance. Insurance Agent.. Start: 01/2020. Less than 1 hour a week, not during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Hailey A Thorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hailey A Thorn's 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®
CFP®
Start date: 2018
Experience
Current
November 14, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 370 S Nolen Dr Ste 100, Southlake, TX 76092RIA
BD
CRD#: 42180
Southlake, TX
Current
November 1, 2019 - Present
SUNBELT SECURITIES, INC.
Office #1: 370 S Nolen Dr Ste 100, Southlake, TX 76092RIA
BD
CRD#: 42180
Southlake, TX
Past
August 8, 2014 - March 3, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTHLAKE, TX
Past
August 10, 2012 - March 3, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTHLAKE, TX
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".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
Florida(2/1/2024)
IAR
Georgia(5/2/2024)
IAR
Michigan(12/12/2023)
IAR
New York(2/4/2021)
RR
Ohio(8/1/2022)
IAR
Pennsylvania(6/17/2024)
IAR
South Carolina(4/8/2024)
RR
Texas(11/14/2019)
IAR
Texas(11/14/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
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.
