Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ANN WOODARD ROACH
BARBARA ANN WOODARD
CRD#: 2296376
IA
Investment Adviser
B
Broker
FIRST HORIZON ADVISORS, INCCRD#: 17117 165 Madison Avenue
12th Floor
Memphis, TN 38103
Registration History
1995200020052010201520202025IAFIRST HORIZON ADVISORS, INC (CRD# 17117)2013 - Present (11 years)BFIRST HORIZON ADVISORS, INC. (CRD# 17117)2003 - Present (21 years)BYOUNG, STOVALL AND COMPANY (CRD# 8121)1997 - 2002 (4 years)BU.S. CLEARING CORP. (CRD# 13071)1992 - 1997 (4 years)IAFTB ADVISORS, INC. (CRD# 143830)2012 - 2013 (1 year)IAFTB ADVISORS, INC. (CRD# 17117)2004 - 2012 (8 years)
License(s)

State Registrations

B
Tennessee 4/2/2003
IA
Tennessee 10/10/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIRST HORIZON ADVISORS, INC (CRD#:17117)
165 Madison Avenue 12th Floor, Memphis, TN 38103
Registered with this firm since 10/10/2013
B
FIRST HORIZON ADVISORS, INC. (CRD#:17117)
165 Madison Avenue 12th Floor, Memphis, TN 38103
Registered with this firm since 4/2/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/11/2012 - 10/10/2013 FTB ADVISORS, INC. (CRD#:143830) MEMPHIS, TN
IA
 03/11/2004 - 03/30/2012 FTB ADVISORS, INC. (CRD#:17117) MEMPHIS, TN
B
 11/21/1997 - 06/11/2002 YOUNG, STOVALL AND COMPANY (CRD#:8121) MIAMI, FL
B
 12/14/1992 - 11/10/1997 U.S. CLEARING CORP. (CRD#:13071) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.