NT
Nancy D. Thrasher
SYNOVUS SECURITIES
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 844146
NT
Professional summary
Nancy Dorcas Thrasher, CFP®, who also goes by Nancy Dorcas Thrashermalone, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Atlanta, Georgia.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Nancy has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Dorcas Thrashermalone
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.
KEEP BOOKS ON QUICKBOOKS AND PREPARE TAX RETURNS FOR VARIOUS COMPANIES. COMPENSATION AS SOLE PROPRIETOR FOR KEEPING BOOKS. 32 HOURS PER MONTH, ZERO HOURS SPENT DURING TRADING HOURS. AUSTRAL REALTY|START DATE: 3/9/2006|REAL ESTATE AGENT | 2 HOURS PER MONTH AND 0 HOURS SPENT DURING TRADING HOURS| MAINTAIN LICENSE SO THAT IT DOES NOT LAPSE| NO EARNED INCOME|3400 OVERTON PARK DRIVE, SUITE 600, ATLANTA, GA 30339
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Dorcas Thrasher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Dorcas Thrasher'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®
Experience
Current
December 1, 2010 - Present
SYNOVUS SECURITIES, INC.
Office #1: 3400 Overton Park Drive, Atlanta, GA 30339RIA
BD
CRD#: 14023
Atlanta, GA
Current
August 1, 2001 - Present
SYNOVUS SECURITIES, INC.
Office #1: 3400 Overton Park Drive, Atlanta, GA 30339RIA
BD
CRD#: 14023
Atlanta, GA
Past
May 2, 2003 - December 31, 2010
CREATIVE FINANCIAL GROUP LTD
RIA
CRD#: 105617
ATLANTA, GA
Past
April 29, 2003 - July 6, 2007
SYNOVUS SECURITIES, INC.
RIA
CRD#: 14023
ATLANTA, GA
Past
April 1, 1998 - August 1, 2001
ROBERT ANDREW SECURITIES, INC.
BD
CRD#: 44566
ATLANTA, GA
Past
February 1, 1994 - March 26, 1998
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
October 18, 1977 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
October 18, 1977 - March 23, 1989
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Past
October 18, 1977 - March 23, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
RR
Florida(5/28/2002)
IAR
Florida(1/24/2023)
RR
Georgia(8/1/2001)
IAR
Georgia(12/1/2010)
RR
North Carolina(1/7/2005)
IAR
North Carolina(1/23/2023)
RR
Texas(10/23/2018)
IAR
Texas(10/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/10/1977
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
