Michelle Smith has been Chief Compliance Officer of Oakworth Asset Management since February 2026, is a control person of the firm and directly owns under 5% of it.
Oakworth Asset Management, LLC is a Birmingham, AL firm with $846M under management, 565 clients and 19 advisers across 4 offices, as of its March 2026 filing.
No adviser firm registrations are on Michelle Smith’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 8 May 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 September 2005 |
| Series 7 | General Securities Representative Examination | 20 January 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michelle E. Smith
- CRD
- 4336289
- Firm
- Oakworth Asset Management · CRD 335388
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Michelle Smith work?
Michelle Smith has been Chief Compliance Officer of Oakworth Asset Management, LLC since February 2026, and is a control person of the firm.
Does Michelle Smith have a current investment-adviser registration?
Michelle Smith has no current investment-adviser or broker registration.
What exams has Michelle Smith passed?
Michelle Smith has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in January 2004. FINRA credited Michelle Smith with the SIE, which began in October 2018.
Is Michelle Smith registered with FINRA?
No. Michelle Smith has no current broker registration.
How can I verify Michelle Smith’s record?
Search CRD 4336289 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michelle Smith’s full registration record.
