Francesca A. Smitherman

REGIONS INVESTMENT MANAGEMENT

Birmingham, AL 35203-2618

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CRD#: 2904466

Professional summary

Francesca Allen Smitherman, who also goes by Fran Allen, Francesca Lillian Allen, is a registered financial advisor currently at REGIONS INVESTMENT MANAGEMENT, INC. located in Birmingham, Alabama.

Francesca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Francesca has worked at 4 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fran Allen | Francesca Lillian Allen

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 Francesca Allen Smitherman'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

January 16, 2008 - Present

REGIONS INVESTMENT MANAGEMENT, INC.

Office #1: 1900 5th Avenue North Sixth Floor, Birmingham, AL 35203-2618

RIA

CRD#: 111715

Birmingham, AL

Past

April 1, 2004 - January 16, 2008

AMSOUTH ASSET MANAGEMENT, INC.

RIA

CRD#: 111554

BIRMINGHAM, AL

Past

June 1, 2001 - October 20, 2003

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

BIRMINGHAM, AL

Past

January 9, 1998 - March 9, 1998

STERNE, AGEE & LEACH, INC.

CRD#: 791

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".

REGIONS INVESTMENT MANAGEMENT, INC.

MORGAN ASSET MANAGEMENT, INC. | REGIONS INVESTMENT MANAGEMENT, INC.

CRD#: 111715 / SEC#: 801-27629

RIA

Registered Investment Advisory firm - (8/15/1986 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
(1/16/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/11/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/8/1998

General Securities Representative Examination

Current Firm

REGIONS INVESTMENT MANAGEMENT, INC.

MORGAN ASSET MANAGEMENT, INC. | REGIONS INVESTMENT MANAGEMENT, INC.

CRD#: 111715 / SEC#: 801-27629

RIA

Registered Investment Advisory firm - (8/15/1986 Approved)

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Contact information

Main Address

1900 5th Avenue North Sixth Floor, Birmingham, AL 35203-2618

Mailing Address

Phone number

(205) 326-7074

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIM PART 2A FIRM BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 18,723,692,464

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/25/2025	Cover Page	Report
09/14/2023	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.

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Francesca A. Smitherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francesca Allen Smitherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGIONS INVESTMENT MANAGEMENT, INC.

AMSOUTH ASSET MANAGEMENT, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

STERNE, AGEE & LEACH, INC.

Primary Firm SEC Registration

REGIONS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2001

Series 7

Date: 1/8/1998

Current Firm

REGIONS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REGIONS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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