FIRST HORIZON ADVISORS, INC of MEMPHIS, TN is an SEC-registered investment adviser (CRD 17117). Regulatory assets under management: $13.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Martin Rene Jr. Delaureal | DIRECTOR; PRESIDENT | — |
| Karen Morton Kruse | CHIEF COMPLIANCE OFFICER | — |
| Gerald William Laurain | CHIEF INVESMENT OFFICER | — |
| Carol Annette Smith | FINOP | — |
| Ottis Mims Clayton | DIRECTOR; FINOP, CFO | — |
| Tracy Ann Bell | CHIEF INVESTMENT OFFICER AND PRESIDENT OF ADVISORY SERVICES | — |
| POPWELL DAVID T | DIRECTOR | — |
| BURKETT CHARLES G | DIRECTOR | — |
| AUR RHOMES C | CEO | — |
| KRUSE KAREN MORTON | CHIEF COMPLIANCE OFFICER; PRESIDENT, ADVISORY SERVICES | — |
| CAIN KENDRA BRADFORD | CHIEF COMPLIANCE OFFICER | — |
| MANN PAUL HOWARD | CHIEF COMPLIANCE OFFICER & PRESIDENT; CHIEF COMPLIANCE OFFICER & PRESIDENT, BROKERAGE SERVICES; PRESIDENT | — |
| OVERBEY DANIEL WAYNE | SALES MANAGER | — |
| MILLER JED F | FINANCIAL OPERATIONS | — |
| LEPORE KENNETH | FIN OP | — |
| LAURAIN GERALD WILLIAM | CHIEF INVESTMENT OFFICER; PRESIDENT, ADVISORY SERVICES | — |
| GENES EDWARD MATTHEW | FINOP | — |
| FOSTER YVONIA ADAMS | FINOP | — |
| MCGUIRE DARREN KEITH | FINANCIAL OPERATIONS OFFICER | — |
| CLAYTON OTTIS MIMS | DIRECTOR; FINOP, CFO | — |
| AUR RHOMES CARVALHO | DIRECTOR AND CEO | — |
| BELL LAURI ANN | CHIEF INVESTMENT OFFICER AND PRESIDENT OF ADVISORY SERVICES | — |
| BRINKERHOFF NICOLE SYLVESTER | CHIEF COMPLIANCE OFFICER | — |
| DELAUREAL MARTIN RENE JR | CHIEF EXECUTIVE OFFICER; DIRECTOR; PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-18 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS IN WHICH THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FOUND THAT THE FIRM FAILED TO MAINTAIN AND ENFORCE CERTAIN POLICIES AND PROCEDURES CONCERN… | Final | $325K |
| 2022-09-02 | regulatory | THE FIRM CONDUCTED NON-EXEMPT TRANSACTIONS IN THE COMMONWEALTH OF PUERTO RICO DURING A TIME PERIOD IT WAS NOT REGISTERED AS A BROKER DEALER IN PUERTO RICO. | Final | $5K |
| 2022-04-13 | regulatory | FINRA FOUND THAT THE FIRM FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE AND TO SUPERVISE THE ELECTRONIC COMMUNICATIONS OF ITS ASSOCIATED PERSONS. A REGISTERED REPRESENTATIVE FORMERLY EMPLOYED BY THE FIRM ENGAGED IN AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY. THIS BUSINESS ACTIVITY WAS AN INVESTMENT… | Final | $175K |
| 2017-02-08 | regulatory | OCC ALLEGED BANK ENGAGED IN UNFAIR BILLING PRACTICES IN VIOLATION OF §5 OF THE FTC ACT, 15USC§45(A)(1) | Final | $1.0M |
| 2016-11-02 | regulatory | FINRA ALLEGED THAT DESPITE THE SIGNIFICANT ROLE THAT VA SALES PLAYED IN THE FIRM'S OVERALL BUSINESS, THE FIRM FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM AND PROCEDURES DESIGNED TO REASONABLY ENSURE SUITABILITY IN ITS MULTI-SHARE CLASS VARIABLE ANNUITY (VAS) SALES, INCLUDING L-SHARE CONTRACTS… | Final | $250K |
| 2015-12-03 | regulatory | FINRA ALLEGED THAT APPLICANT VIOLATED FINRA RULE 2010 BY FAILING TO APPLY SALES CHARGE DISCOUNTS TO CERTAIN ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUST (UITS) FROM JUNE 2010 TO MAY 31, 2015. THE ALLEGATIONS ALSO INCLUDED FAILURE TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUP… | Final | $125K |
| 2004-01-16 | civil | PLAINTIFF ALLEGES THAT FIRST HORIZON HOME LOAN CORP (FHHLC) VIOLATED STATE LAWS PROHIBITING UNLAWFUL COLLECTION PRACTICES AND DECEPTIVE BUSINESS PRACTICES. THE ALLEGATIONS CONCERN THE CALCULATION AND COLLECTION OF A MORTGAGE LOAN PAYOUT ON ONE MORTGAGE LOAN ORIGINATED BY ANOTHER LENDER AND WHICH LOA… | Final | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| MEMPHIS | TN | 11 | 901-818-6000 |
| BRENTWOOD | TN | 9 | 629-208-2052 |
| KNOXVILLE | TN | 7 | 865-971-2703 |
| CHATTANOOGA | TN | 6 | 423-242-7800 |
| JOHNSON CITY | TN | 5 | 423-461-1277 |
| MORRISTOWN | TN | 5 | 423-585-4502 |
| LAFAYETTE | LA | 5 | 3375214886 |
| BIRMINGHAM | AL | 5 | 2058035805 |
| KNOXVILLE | TN | 4 | 865-971-2117 |
| MEMPHIS | TN | 4 | 901-681-2641 |
| JACKSON | TN | 4 | 731-660-7200 |
| WINSTON SALEM | NC | 3 | 3369704786 |
| NEW ORLEANS | LA | 3 | 5043107470 |
| RALEIGH | NC | 3 | 9197892988 |
| MARYVILLE | TN | 3 | 8653802922 |