Role at Regions Investment Management
- Title on Schedule A
- Senior Vice President
- Control
- Francesca Smitherman is a control person of Regions Investment Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Francesca Smitherman has held the filed role since November 2012.
The firm
Form ADV filed 29 July 2026
Career on record
Francesca Smitherman has been registered through Regions Investment Management since January 2008, and before that through Amsouth Asset Management, Inc. and Amsouth Investment Management Company LLC.
- – present · 19 yearsBirmingham, AL · Adviser representative · Firm CRD 111715
- Amsouth Asset Management, Inc.– · 4 yearsBirmingham, AL · Adviser representative · Firm CRD 111554
- Amsouth Investment Management Company LLC– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 111757
- Passed Series 65 · 2001
- Passed Series 7 · 1998
Registrations and exams
Francesca Smitherman has a current investment-adviser registration in Alabama and has passed 2 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Alabama | Investment adviser representative | Approved | 16 January 2008 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 April 2001 |
| Series 7 | General Securities Representative Examination | 8 January 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Francesca Allen Smitherman
- CRD
- 2904466
- Registration status
- Investment adviser registration
- Office
- 1900 5TH AVENUE NORTH, SIXTH FLOOR, Birmingham, AL 35203-2618
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
Common questions
Where does Francesca Smitherman work?
Francesca Smitherman has been Senior Vice President of Regions Investment Management, Inc. since November 2012, and is a control person of the firm.
Is Francesca Smitherman a financial advisor?
Yes. Francesca Smitherman has a current investment-adviser registration in Alabama, through Regions Investment Management since January 2008, as of 17 October 2026.
How many years of experience does Francesca Smitherman have?
Francesca Smitherman has worked in the financial industry for 24 years as of 17 October 2026, counted from 10 November 2001, across 3 adviser firms.
What exams has Francesca Smitherman passed?
Francesca Smitherman has passed 2 licensing exams: the Series 7 and Series 65. The earliest, the Series 7, was passed in January 1998.
Where did Francesca Smitherman work before Regions Investment Management?
Before Regions Investment Management, Francesca Smitherman was registered through Amsouth Asset Management, Inc., April 2004 to January 2008; Amsouth Investment Management Company LLC, June 2001 to October 2003.
Where is Francesca Smitherman based?
Francesca Smitherman’s registered office is in Birmingham, AL.
Leadership at Regions Investment Management
Samuel McKnightPresident & Chairman, Board of Directors- Tammy RodenChief Compliance Officer
- John FerrellDirector
- Gregory FirekDirector
- David WrightDirector