Role at Highland Associates
- Title on Schedule A
- CCO
- Control
- Amanda Poe is not a control person of Highland Associates.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Amanda Poe has held the filed role since February 2016.
The firm
Form ADV filed 29 July 2026
Career on record
- Passed SIE · 2018
- Passed Series 4 · 2010
- Passed Series 55 · 2003
- Passed Series 53 · 2001
- Passed Series 24 · 2000
- Passed Series 7 and Series 63 · 1994
Registrations and exams
Broker registration; no current adviser registration. Amanda Poe has passed 7 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 21 July 1994 |
| Series 4 | Registered Options Principal Examination | 24 August 2010 |
| Series 53 | Municipal Securities Principal Examination | 2 August 2001 |
| Series 24 | General Securities Principal Examination | 24 February 2000 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 55 | Limited Representative-Equity Trader Exam | 9 July 2003 |
| Series 7 | General Securities Representative Examination | 15 June 1994 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
Individual record
- Full name
- Amanda Horner Poe
- CRD
- 2333052
- Registration status
- Broker registration; no current adviser registration
- Firm bio
- regions.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Amanda “Mandy” Poe serves as Highland’s chief compliance officer. The firm says she joined in 2016 after compliance and supervisory roles at Sterne Agee and Stifel. Highland Associates team biography
Education
- She earned a Bachelor of Science degree from the University of Alabama.Highland Associates team biography
Credentials and memberships
- FINRA Series 7, 63 and 24 licenses (firm-listed).Highland Associates team biography
Common questions
Where does Amanda Poe work?
Amanda Poe has been CCO of Highland Associates Inc since February 2016.
Does Amanda Poe have a current investment-adviser registration?
Amanda Poe has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Amanda Poe passed?
Amanda Poe has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 53, Series 55, Series 4 and SIE. The earliest, the Series 7, was passed in June 1994.
Leadership at Highland Associates
Paige DanielPresident
John PetersonManaging Director
Eric RalphManaging Director
Scott SealockManaging Director