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Heather Diane Smith

Southstate|duncanwilliams Securities Corp.

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About Heather Diane Smith

Heather Smith is a registered representative at Southstate|duncanwilliams Securities Corp. Heather has been in the financial industry since June 3, 2001, and holds Series 7, 24, 52TO, 53, 79TO, 99TO and SIE licenses. Heather is registered in Alabama, North Carolina, Ohio and Tennessee. Heather was previously registered with Raymond James & Associates, Inc. and Morgan Keegan & Company, Inc.

Firm Information

Heather Smith is currently registered with Southstate|duncanwilliams Securities Corp.. Southstate|duncanwilliams Securities Corp. is a corporation formed in March 1969. The firm is registered in 49 states and is approved for registration with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Heather Smith’s Registration & Firm History

TN

09/30/2013 - Present

Southstate|duncanwilliams Securities Corp. (MEMPHIS (SHELBY) TN)

TN

11/01/2012 - 07/09/2013

RAYMOND JAMES & ASSOCIATES, INC. (MEMPHIS TN)

TN

02/13/2007 - 07/09/2013

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

AL

03/13/2001 - 02/13/2007

AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)

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Licenses & Designations

BOTH

Issued 08/16/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/19/2002

Series 53 - Municipal Securities Principal Examination

BC

Issued 07/12/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/12/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Heather Diane Smith.
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