Carol A. Smith
Professional summary
Carol Annette Smith, who also goes by Carol Annette Hendrix, is a registered financial professional currently at FIRST HORIZON ADVISORS, INC. located in Memphis, Tennessee.
Carol is registered as a RR (Registered Representative) and started their career in finance in 2015. Carol has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Annette Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 29, 2015 - Present
FIRST HORIZON ADVISORS, INC.
Office #1: 165 Madison Avenue 14th Floor, Memphis, TN 38103State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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
FIRST HORIZON ADVISORS, INC.
CRD#: 17117Memphis, TN 38103TRUST BUT VERIFY
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