Heather Diane Howard
Professional Summary
Heather Diane Howard, who also goes by Heather Diane Hudson, Heather Diane Smith, Heather Diane Smith, is a registered financial advisor currently at SOUTHSTATE SECURITIES CORP. located in Memphis (shelby), Tennessee. Heather is registered as a RR (Registered Representative) and started their career in finance in 2001. Heather has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Heather Diane Hudson, Heather Diane Smith, Heather Diane Smith
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
Contact Information
Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424Phone Number
(901) 260-6800Established
Tennessee since 03/31/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | — |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
Regulatory Event
9Arbitration
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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.
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State Registrations and Notice Filings
(9/30/2013)
(9/30/2013)
(9/30/2013)
(9/30/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Heather Diane Howard's CRS (Customer Relationship Summary).
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