Unclaimed Profile

Richard Joseph Smith

SMITH THORNTON ADVISORS, LLC·HUNTSVILLE, Alabama

SIE, Series 3, Series 7, Series 8, Series 9, Series 10, Series 22, Series 63, Series 6535 years registeredSMITH THORNTON ADVISORS, LLC

626 CLINTON AVENUE WEST, HUNTSVILLE, AL 35801CRD# 1338524Firm CRD# 312537

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Joseph Smith · HUNTSVILLE, AL

Registration

CRD #1338524 · SMITH THORNTON ADVISORS, LLC · 35 years registered

Brand Profile

Not yet started

Career History

SMITH THORNTON ADVISORS, LLC

Dec 2021 – present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Sep 2011 – Jun 2021

HUNTSVILLE, AL

MORGAN KEEGAN & COMPANY, INC.

Jun 1991 – Sep 2011

HUNTSVILLE, AL

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 9

Series 10

Series 22

Series 63

Series 65

Registration record

First registered · June 10, 1991

Years registered · 35

Disclosure History

2010Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SMITH THORNTON ADVISORS, LLC

CRD 312537 · SEC 801-120351

AUM

$735M

Regulatory assets under management

Employees

765 client accounts

Services offered by SMITH THORNTON ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SMITH THORNTON ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Joseph Smith offer?

Richard Joseph Smith specializes in Financial Planning, Investment Management. Contact their office in HUNTSVILLE, Alabama for a consultation.

What are Richard Joseph Smith's credentials?

Richard Joseph Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Joseph Smith located?

Richard Joseph Smith is based in HUNTSVILLE, Alabama, working with SMITH THORNTON ADVISORS, LLC. Their office serves clients in the HUNTSVILLE metropolitan area and surrounding communities.

How does Richard Joseph Smith charge for services?

Richard Joseph Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SMITH THORNTON ADVISORS, LLC?

SMITH THORNTON ADVISORS, LLC has approximately 6 employees and manages $735M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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