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Oakworth Asset Management, LLC CRD 335388
$846M regulatory AUM 10 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
850 Shades Creek Parkway Suite 200, Birmingham, AL 35209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2026-05-14 |
Branch Locations
850 Shades Creek Parkway Suite 200, Birmingham, AL 35209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Proequities Inc | Birmingham | AL | 05/2014 | 10/2016 |
| Regions Bank | Birmingham | AL | 10/2016 | 08/2021 |
| Cetera Investment Advisers Llc | Birmingham | AL | 10/2016 | 08/2021 |
| Cetera Investment Services Llc | St.CLoud | MN | 10/2016 | 08/2021 |
| Stonex Securities Inc. | Birmingham | AL | 09/2021 | 06/2024 |
| Stonex Advisors Inc. | Birmingham | AL | 09/2021 | 06/2024 |
| Stonex Financial Inc | Birmingham | AL | 09/2021 | 06/2024 |
| Stonex Group Inc | Birmingham | AL | 09/2021 | 06/2024 |
| Stonex Outsourced Services Llc | Birmingham | AL | 08/2022 | 06/2024 |
| Oakworth Capital Bank | Birmingham | AL | 06/2024 | Present |
| Oakworth Asset Management, Llc | Birmingham | AL | 05/2026 | Present |
Oakworth Capital Bank; Investment Related; At Reported Business Location; Bank; Head of Wealth Operations; 05/2024; 160 hours/month during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-24 |
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