Unclaimed Profile

Heather Diane Smith

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC·MEMPHIS, Tennessee

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 66, Series 79TO, Series 99TOClean record19 years registeredDUNCAN WILLIAMS ASSET MANAGEMENT, LLC

5350 POPLAR AVENUE, MEMPHIS, TN 38119CRD# 4349745Firm CRD# 174809

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Heather Diane Smith · MEMPHIS, TN

Registration

CRD #4349745 · DUNCAN WILLIAMS ASSET MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

Apr 2018 – Jan 2024

MEMPHIS, TN

DUNCAN-WILLIAMS, INC.

Sep 2013 – Oct 2015

MEMPHIS, TN

RAYMOND JAMES & ASSOCIATES, INC.

Nov 2012 – Jul 2013

MEMPHIS, TN

MORGAN KEEGAN & COMPANY, INC.

Apr 2007 – Jul 2013

MEMPHIS, TN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 66

Series 79TO

Series 99TO

Registration record

First registered · April 16, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

CRD 174809 · SEC 801-81015

AUM

$1.0B

Regulatory assets under management

Employees

1,286 client accounts

Services offered by DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DUNCAN WILLIAMS ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Heather Diane Smith offer?

Heather Diane Smith specializes in Financial Planning, Investment Management, Wealth Management.

What are Heather Diane Smith's credentials?

Heather Diane Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Heather Diane Smith located?

Heather Diane Smith is based in MEMPHIS, Tennessee, last registered with DUNCAN WILLIAMS ASSET MANAGEMENT, LLC.

How does Heather Diane Smith charge for services?

Heather Diane Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DUNCAN WILLIAMS ASSET MANAGEMENT, LLC?

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC has approximately 15 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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