DH
Dorothy N. Hoy
THOMPSON DAVIS & CO.
Richmond, VA 23235
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CRD#: 6683860
DH
Professional summary
Dorothy Nikki Hoy, who also goes by Dorothy Nicole Hoy, Nikki Hoy, is a registered financial professional currently at THOMPSON DAVIS & CO., INC. located in Richmond, Virginia.
Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2023. Dorothy has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dorothy Nicole Hoy | Nikki Hoy
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) - BD
Click below to view Dorothy Nikki Hoy'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®
NoneExperience
Current
July 3, 2023 - Present
THOMPSON DAVIS & CO., INC.
Office #1: 9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235RIA
BD
CRD#: 41353
Richmond, VA
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".
TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
CRD#: 41353 / SEC#: 801-120472, 8-49386
RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
RR
Virginia(7/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
CRD#: 41353 / SEC#: 801-120472, 8-49386
RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Mailing Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Phone number
(804) 644-6380
Established
New York since 08/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (5 States and Territories)
FINRA licenses (33 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAVIS, WILLIAM DALE JR | CEO | 2056775 |
| THALHIMER, ADAM ROBERT | DIRECTOR OF RESEARCH | 4472072 |
| THOMPSON, EDWARD HUNTER JR | CHAIRMAN | 445674 |
| ALTIZER, JUNE ELAINE | CFO/FINOP/PFO/POO | 2114981 |
| DANIEL, MATTHEW HENRY | SR. VICE PRESIDENT | 4258203 |
| WALZ, PEGGY MYERS | CCO | 2996925 |
| JONES, BRANT CHRISTOPHER | INVESTMENT ADVISOR | 5945363 |
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 206,863,938 |
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.
Company Information
THOMPSON DAVIS & CO., INC.
CRD#: 41353Richmond, VA 23235TRUST BUT VERIFY
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