Business Details
16 Years
experience
Your Trusted Partner for Investment Banking & Financial Solutions
First Southern is a boutique financial services company dedicated to delivering comprehensive investment banking, brokerage, and wealth management solutions. Founded on principles of integrity, trust, and expertise, we prioritize long-term client relationships to help achieve financial objectives. Our team of seasoned professionals offers personalized services tailored to individual, institutional, and corporate clients across the United States and Puerto Rico. With a focus on transparency and ethical practices, we provide fixed income portfolio construction, municipal and corporate bond trading, and strategic advisory services.Our institutional division specializes in identifying unique opportunities in the secondary market, while our investment banking team underwrites primary bond offerings and advises on mergers and acquisitions. Committed to excellence, we leverage decades of experience to navigate evolving markets and deliver value-driven results.
Services
Investment Banking
Wealth Management
Institutional Sales & Trading
Fixed Income Portfolio Solutions
Municipal Bonds
Corporate Bonds
Treasury Securities
Agency Bonds
Portfolio Management
Mergers & Acquisitions Advisory
Details
- Year established: 2010
Highlights and features
- We offer personalized investment solutions engineered for long-term success.
- Our team includes industry veterans with decades of market experience.
- We specialize in fixed income portfolio construction and municipal bond trading.
- We prioritize transparency and full disclosure in client relationships.
- We provide tailored advisory services for high-net-worth individuals and institutions.
Associations and certifications
- FINRA
- MSRB
- SIPC
Services
Investment Banking
First Southern provides underwriting for municipal bond offerings and structured transactions. The team offers M&A advisory, valuation services, and capital sourcing for public and private sector clients. With over 20 years of experience, they serve industries including healthcare, real estate, and public-private partnerships.
Wealth Management
The Wealth Management Group creates personalized investment strategies for long-term success. Services include asset allocation, retirement planning, and insurance solutions. Advisors work with high-net-worth individuals and corporations across Puerto Rico and the U.S.
Institutional Sales & Trading
The institutional division specializes in investment-grade and high-yield municipal bonds. Seasoned professionals identify opportunities in secondary markets, offering government securities, corporate bonds, and structured products to portfolio managers.
Municipal Bonds
First Southern offers tax-free municipal bonds with expertise in underwriting and trading. Services include credit analysis, portfolio construction, and market insights for investors seeking dependable income and capital preservation.
Portfolio Management
The firm provides customized portfolio management for RIAs and institutional clients. Services include credit scrubs, duration analysis, and income optimization using municipal, corporate, and government securities.
People
W. Heath Hawk
CEO & President
Over 25 years in high-yield municipal bonds. Co-founded First Southern in 2010 after leading Bergen Capital's Atlanta office. Holds FINRA Series 4, 7, 24, and 63 licenses.
Sharon Jones
Chief Compliance Officer
28 years in securities compliance. Former FINRA regulator with expertise in SEC and FINRA rule implementation. Holds Series 7, 4, 24, and 63 licenses.
Vasileios A. Sfyris
Managing Partner
Specializes in distressed municipal bonds. Co-founded First Southern after Bergen Capital experience. Holds Series 7, 24, and 63 licenses.
Rafael Pagn
Head of Investment Banking
18 years at UBS Puerto Rico in corporate finance and M&A. Holds Series 7, 24, 63, and 66 licenses. Expertise in public-private partnerships.
Stephanie Jackels
Chief Financial Officer
20+ years in broker/dealer financial operations. Ensures FINRA and SEC compliance. Holds Series 27 license and accounting credentials.
Questions
What services does First Southern offer?
We provide investment banking, wealth management, and institutional fixed income solutions. Specialties include municipal bonds, portfolio management, and M&A advisory services.
Are my assets protected with First Southern?
Yes. We are SIPC-member protected up to $500,000 (including $250,000 cash) through Pershing LLC with additional excess coverage available.
How do I open an account?
Contact our Atlanta or Puerto Rico office directly. Our team assists with account setup for individual, institutional, and corporate clients.
What investment options are available?
We offer municipal bonds, corporate debt, treasury securities, agency bonds, ETFs, and structured products for diversified portfolio construction.
Do you serve individual investors?
Yes. Our wealth management team creates personalized solutions for retirement planning, asset allocation, and long-term financial goals.
