Ashley S. Tabb

OAKWORTH ASSET MANAGEMENT

BIRMINGHAM, AL 35209

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CRD#: 4954982

Professional summary

Ashley Summers Tabb, CFP® is a registered financial advisor currently at OAKWORTH ASSET MANAGEMENT, LLC located in Birmingham, Alabama.

Ashley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Ashley has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Oakworth Capital Bank; Investment Related; At Reported Business Location; Bank; Wealth Client Advisor; 03/2025; 160 hours/month, 160 hours/month during securities trading hours; Wealth Client Advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Summers Tabb'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

July 1, 2025 - Present

OAKWORTH ASSET MANAGEMENT, LLC

Office #1: 850 Shades Creek Parkway Suite 200, Birmingham, AL 35209

RIA

CRD#: 15692

BIRMINGHAM, AL

Past

May 18, 2005 - June 15, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

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
(7/1/2025)

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 66

Date: 10/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2005

General Securities Representative Examination

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA

Registered Investment Advisory firm - (7/1/2025 120-Day Approval)

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Contact information

Main Address

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 263-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 757,410,003

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

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Ashley S. Tabb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Summers Tabb's CRS (Customer Relationship Summary).

Certified licenses

Experience

1919 INVESTMENT COUNSEL, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2005

SIE

Date: 2/23/2016

Series 7

Date: 5/17/2005

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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