0001689151-18-000019.txt : 20181005
0001689151-18-000019.hdr.sgml : 20181005
20181005114529
ACCESSION NUMBER: 0001689151-18-000019
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20181004
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FTN Financial Municipal Advisors
CENTRAL INDEX KEY: 0001689151
IRS NUMBER: 000000000
STATE OF INCORPORATION: TN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-02180
FILM NUMBER: 181109751
BUSINESS ADDRESS:
STREET 1: 845 CROSSOVER LANE
STREET 2: SUITE 150
CITY: MEMPHIS
STATE: TN
ZIP: 38117
BUSINESS PHONE: 901-435-8080
MAIL ADDRESS:
STREET 1: 845 CROSSOVER LANE
STREET 2: SUITE 150
CITY: MEMPHIS
STATE: TN
ZIP: 38117
MA/A
1
primary_doc.xml
MA/A
0001689151
XXXXXXXX
Penny Michael
901-435-8645
penny.michael@ftnfinancial.com
denise.mueller@ftnfinancial.com
FTN Financial Municipal Advisors
FTN Financial Municipal Advisors, a division of First Tennessee Bank NA
62-0201385
867-02180
845 CROSSOVER LANE
SUITE 150
MEMPHIS
TN
38117
901-435-8080
Add
920 Memorial City Way
11th Floor
Houston
TX
77024
800-489-3232
Add
17721 Rogers Ranch Pkwy
Suite 145
San Antonio
TX
78258
888-558-8118
Add
6500 River Place Blvd
Building 7, Suite 250
Austin
TX
78730
512-813-7662
Add
100 South Ashley Drive
Suite 609
Tampa
FL
33602
813-397-3725
NewAdd
1017 East Morehead Street
Charlotte
NC
28204
901-435-8788
N
845 CROSSOVER LANE
SUITE 150
MEMPHIS
TN
38117
Celeste
Diane
Pryor
845 Crossover Lane
Suite 150
Memphis
TN
38117
901-435-4763
celeste.pryor@ftnfinancial.com
Penny
Elaine
Michael
845 Crossover Lane
Suite 150
Memphis
TN
38117
901-435-8645
penny.michael@ftnfinancial.com
Add
FTN Financial Municipal Advisors
17721 Rogers Ranch Pkwy
Suite 145
San Antonio
TX
78258
888-558-8118
Municipal Advisor Customer Agreements and Files
First Tennessee Bank, NA
Y
OCC Chartered Bank
336
First Horizon National Corporation
Y
Federal Reserve
RSSD 485559
SID (Separately Identifiable Division of a Bank) - FIrst Tennessee Bank NA
December
TN
10-25-2016
N
11
11
11
0
0
0
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice On Selection
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Banking/Thrift institution
8
Add
Banking/Thrift institution
First Horizon National Corporation
First Horizon Naitonal Corporation
Y
N
N
Add
Banking/Thrift institution
First Tennessee Bank NA
First Tennessee Bank NA
Y
N
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Banking/Thrift institution
First Tennessee Bank NA
FTN Financial Capital Markets, a division of First Tennessee Bank NA
Y
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
FTN Financial Securities Corp
FTN Financial Securities Corp
N
Y
N
Add
Investment Adviser
FTN Financial Main Street Advisors
FTN Financial Main Street Advisors
N
Y
N
Add
Banking/Thrift institution
FTN Financial Capital Assets
FTN Financial Capital Assets
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
FTB Advisors, Inc.
FTB Advisors, Inc.
N
Y
N
Add
Investment Adviser
Martin & Company Inc.
Martin & Company Inc.
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
FIRST HORIZON NATIONAL CORP
0000036966
Schedule A
FTN Financial Municipal Advisors is a Separately Identifiable Division of First Tennessee Bank, NA which is held by First Horizon National Corporation.
N
N
N
N
N
N
N
Y
Y
Y
Y
N
Y
Y
N
Y
N
N
N
N
N
N
N
Y
Y
Y
First Horizon National Corp
Y
62-0803242
Holding Company
10-25-2016
E
Y
Michael
Darryl
Allen
Manager
10-25-2016
NA
Y
000000000
John
Christopher
Melton
Chief Compliance Officer
04-03-2017
NA
Y
000000000
Add
First Horizon National Corp
Y
62-0803242
Holding Company
10-25-2016
E
Y
Amend
Michael
Darryl
Allen
Manager
10-25-2016
NA
Y
000000000
Delete
John
Christopher
Melton
Chief Compliance Officer
04-03-2017
NA
Y
000000000
Add
Celeste
Diane
Pryor
Chief Compliance Officer
10-01-2018
NA
Y
000000000
1
9-D2
FTN Financial Capital Markets
N
FTN Financial Securities Corp
000046346
571080
1
9-D5
FTB Advisors, Inc.
Y
008-35061
FTN Financial Securities Corp
000046346
571082
1
9-D1
9-D2
FTB Advisors
Y
008-35061
FTB Advisors, Inc.
000017117
866030
1
9-D2
First Tennessee Bank NA
N
FTN Financial Securities Corp
000046346
1093283
1
9-D2
First Tennessee Bank, NA
N
FTN Financial Securities Corp
000046346
1093284
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1109676
1
9-E2
FTB Advisors, Inc.
Y
008-35061
FTB Advisors, Inc.
000017117
1187526
1
9-D2
9-D4
First Horizon National Corp
Y
001-15185
FTN Financial Securities Corp
000046346
1272888
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1327105
1
9-D2
9-D4
First Horizon National Corp
Y
001-15185
FTN Financial Securities Corp
000046346
1351319
1
9-D2
First Horizon National Corp
Y
001-15185
FTN Financial Securities Corp
000046346
1398590
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1408586
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1408627
1
9-D2
9-D4
First Tennessee Bank, NA
N
FTN Financial Securities Corp
000046346
1464117
1
9-C4
9-C5
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1588442
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1633538
1
9-E2
FTN Financial Securities Corp
Y
008-51393
FTN Financial Securities Corp
000046346
1677807
1
9-E2
FTB Advisors
Y
008-35061
FTB Advisors, Inc.
000017117
1851450
1
9-E2
FTB Advisors, Inc.
Y
008-35061
FTB Advisors, Inc
000017117
1907304
1
9-D1
9-D2
9-D4
First Tennessee Bank NA
N
FTN Financial Securities Corp
000046346
1929849
1
9-H2
First Horizon National Corp
Y
001-15185
FTN Financial Securities Corp
000046346
1398589
Penny Michael
Penny Michael
Compliance Officer
10-04-2018
N
N
Y
N
N
N
N
Y
N
N
Y
N
Y
N
N
N
N
Y
N
N
N