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HH

Heather D. Howard

SOUTHSTATE|DUNCANWILLIAMS SECURITIES
Memphis (shelby), TN 38138-7424
Some features on this profile are disabled
CRD#: 4349745
HH

Professional summary

Heather Diane Howard, who also goes by Heather Diane Hudson, Heather Diane Smith, Heather Diane Smith, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather Diane Hudson | Heather Diane Smith | Heather Diane Smith

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.
DUNCAN WILLIAMS ASSET MANAGEMENT; INVESTMENT-RELATED; 6263 POPLAR AVENUE, SUITE 300, MEMPHIS, TN 38119; INVESTMENT ADVISER/COMPLIANCE FUNCTIONS; START DATE: 4/1/2015 50% - 60% OF HOURS DEVOTED DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Diane Howard'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

September 30, 2013 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
BD
CRD#: 6950
Memphis (shelby), TN
Past

April 10, 2018 - January 17, 2024

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

RIA
CRD#: 174809
MEMPHIS, TN
Past

September 30, 2013 - October 21, 2015

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

RIA
CRD#: 6950
MEMPHIS, TN
Past

November 2, 2012 - July 9, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
MEMPHIS, TN
Past

November 1, 2012 - July 9, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
MEMPHIS, TN
Past

April 16, 2007 - July 9, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

February 13, 2007 - July 9, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

March 13, 2001 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/30/2013)
RR
North Carolina
(9/30/2013)
RR
Ohio
(9/30/2013)
RR
Tennessee
(9/30/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/16/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/19/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP

CRD#: 6950 / SEC#: 801-68820, 8-18971

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6750 Poplar Avenue Suite 300, Memphis, TN 38138
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SOUTHSTATE BANK, NATIONAL ASSOCIATIONOWNER
BONONNO, JOSEPH KEMPCHIEF FINANCIAL OFFICER7437632
CHERRY, JAMES CROWELLCHIEF COMPLIANCE OFFICER2870353
HODGES, STUART LEESVP, PRESIDENT7370566
HOWARD, HEATHER DIANECORPORATE SECRETARY/COMPLIANCE OFFICER4349745
TUCKER, KIMBERLY SHAYOPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER7370391

Disclosures

Regulatory Event9
Arbitration1

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

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950Memphis (shelby), TN 38138-7424

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