Otis D. Hall

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CRD#: 3250380

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Otis Dale Hall II, who also goes by Otis Dale Hall, was a registered financial professional .

Otis is a previously registered financial professional and started their career in finance in 1999. Otis had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Otis Dale Hall

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 18, 2008 - September 23, 2019

REGIONS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111715

MONTGOMERY, AL

Past

March 18, 2004 - January 28, 2008

AMSOUTH ASSET MANAGEMENT, INC.

RIA

CRD#: 111554

MONTGOMERY, AL

Past

August 27, 2002 - March 9, 2004

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

September 25, 2001 - October 14, 2003

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

MONTGOMERY, AL

Past

February 9, 2001 - September 12, 2001

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

July 13, 1999 - March 15, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/27/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/1999

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Otis D. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMSOUTH ASSET MANAGEMENT, INC.

AMSOUTH INVESTMENT SERVICES, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

REGIONS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2005

Series 63

Date: 7/19/1999

Series 7

Date: 4/27/2001

Series 6

Date: 7/12/1999

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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