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Francesca Allen Smitherman

Regions Investment Management, Inc.

Birmingham, AL

CRD 2904466

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Employer firm

Regions Investment Management, Inc. CRD 111715

$20.1B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Regions Investment Management, Inc.

1900 5Th Avenue North Sixth Floor, Birmingham, AL 35203-2618 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2008-01-16
  • AL RA
    APPROVED
    Since 2008-01-16

Branch Locations

1900 5Th Avenue North Sixth Floor, Birmingham, AL 35203-2618 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Asset Management, Inc. Birmingham AL 01/2008 Present
  • 01/2008 → Present
    Morgan Asset Management, Inc.
    Birmingham, AL
Previous Registrations
  • 2004-04-01 → 2008-01-16
    Amsouth Asset Management, Inc.
    Birmingham, AL
  • 2001-06-01 → 2003-10-20
    Amsouth Investment Management Company Llc
    Birmingham, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-11
  • S65 Uniform Investment Adviser Law Examination
    2001-04-11
Other Names
  • Fran Allen
  • Francesca Lillian Allen

View on SEC IAPD

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