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MS

Mary K. Smith

INVISTA ADVISORS
MONTGOMERY, AL 36117
Some features on this profile are disabled
CRD#: 2369000
MS
Mary Kathryn SmithINVISTA ADVISORS

Professional summary

Mary Kathryn Smith, who also goes by Mary Kathryn Grant, is a registered financial advisor currently at INVISTA ADVISORS located in Montgomery, Alabama and WAVERLY ADVISORS, LLC located in Montgomery, Alabama.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mary has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Mary Kathryn Grant

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 7, 2016 - Present

INVISTA ADVISORS

Office #1: 350 Leavell Circle, Montgomery, AL 36117
RIA
CRD#: 282899
MONTGOMERY, AL
Current

July 24, 2026 - Present

WAVERLY ADVISORS, LLC

Office #1: 350 Leavell Cir., Montgomery, AL 36117
RIA
CRD#: 115332
Montgomery, AL
Past

April 2, 2007 - July 7, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
ATLANTA, GA
Past

April 2, 2007 - July 24, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
ATLANTA, GA
Past

August 19, 2005 - April 4, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
MONTGOMERY, AL
Past

August 19, 2005 - April 4, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
MONTGOMERY, AL
Past

August 4, 2000 - August 29, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MONTGOMERY, AL
Past

July 17, 2000 - August 29, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 7, 1999 - July 10, 2000

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

May 12, 1999 - June 2, 1999

SOUTHTRUST SECURITIES, LLC

BD
CRD#: 17922
BIRMINGHAM, AL

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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Alabama
(7/7/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/10/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1999
General Securities Representative Examination

Current Firm

WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 Approved)
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Contact information

Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
384

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts34,313
AUM (Assets Under Management)$ 28,263,743,199

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/27/2025
Cover Page
Report
02/16/2024
Cover Page
Report
06/15/2023
Cover Page
Report

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

WAVERLY ADVISORS, LLC

CRD#: 115332Montgomery, AL 36117

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