# EDGAR Filing Document

**Accession Number:** 0001623523
**File Stem:** 0001623523-23-000002
**Filing Date:** 2023-2
**Character Count:** 10166
**Document Hash:** c644e12143db179bf6e45d53b61f2e71
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001623523-23-000002.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001623523-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230217

**DATE AS OF CHANGE**: 20230221

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Hancock Whitney Bank Municipal Advisors Group
- **CENTRAL INDEX KEY:** 0001623523
- **IRS NUMBER:** 640169065
- **STATE OF INCORPORATION:** MS
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01137
- **FILM NUMBER:** 23645266

**BUSINESS ADDRESS:**
- **STREET 1:** 228 ST. CHARLES AVENUE
- **STREET 2:** 2ND FLOOR
- **CITY:** NEW ORLEANS
- **STATE:** LA
- **ZIP:** 70130
- **BUSINESS PHONE:** 504-299-5168

**MAIL ADDRESS:**
- **STREET 1:** 228 ST. CHARLES AVENUE
- **STREET 2:** 2ND FLOOR
- **CITY:** NEW ORLEANS
- **STATE:** LA
- **ZIP:** 70130

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Whitney Bank Trust & Asset Management Municipal Advisors Group - a Separately Identifiable Department of Whitney Bank
- **DATE OF NAME CHANGE:** 20141027

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001623523

**Filer CCC:** XXXXXXXX

**Contact Name:** John Rigney

**Contact Phone:** 504-299-5168

**Contact Email:** John.Rigney@hancockwhitney.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Hancock Whitney Bank Municipal Advisors Group

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 64-0169065

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-01437-00

- **Municipal Advisor:** SEC File No: 867-01137

**E. Principal Office and Place of Business:** 701 Poydras Street, 32ND FLOOR, NEW ORLEANS, LA, 70139

**Telephone Number:** 504-299-5168

**Additional Offices of Employment:**

- **Office #1 (Add):** 2510 14th Street, Gulfport, MS, 39501 | Phone: 1-800-651-9227

- **Office #2 (Add):** 445 North Blvd, Baton rouge, LA, 70802 | Phone: 800-651-9227

**Mailing Address is Different from Principal Office:** No

**F. Website:** —

**G. Chief Compliance Officer (CCO):**

**Name:** John M Rigney

**Address:** 701 Poydras Street, 32nd floor, New Orleans, LA, 70139

**Phone Number:** 504-299-5168

**Email:** John.Rigney@hancockwhitney.com

**H. Business Affiliates:**

- **Name:** Hancock Whitney Bank

  - **Issuing Agency:** FDIC

  - **Jurisdiction:** MS

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Other (—)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** LA

**D. Date of Organization:** 01-08-2014

**E. Is the applicant a public reporting company?:** Yes

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 3

**B. Municipal Advisory Activities - Employees:** 2

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 2

**D. Public Relations Company?:** Yes

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 5

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Public pension funds
Local government investment pools
State government investment pools
Hospitals
Colleges
, Public pension funds, Local government investment pools, State government investment pools, Hospitals, Colleges

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Contingent Fees
, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice On Selection

### Item 5: Other Business Activities

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Banking/Thrift institution, Banking/Thrift institution

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** Yes

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** Yes

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** Yes

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** Yes

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** Yes

- **Compensate any person for client referrals?:** Yes

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** Yes

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                 | Title/Status                              | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Hancock Whitney Bank | Parent Company                            | 01-08-2014      | E - 75% or more   | Yes               | 64-0169065   |  |
| Anthony L Frey       | Executive Vice President - Director Trust | 07-01-2019      | NA - less than 5% | Yes               |  | 4204807      |
| John Mario Rigney    | Vice President - Chief Compliance Officer | 01-08-2014      | NA - less than 5% | No                |  | 000000000    |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                 | Title/Status                              | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Hancock Whitney Bank | Parent Company                            | 01-08-2014      | E - 75% or more   | Yes               | 64-0169065   |  |
|  | Direct      |  | Anthony L Frey       | Executive Vice President - Director Trust | 07-01-2019      | NA - less than 5% | Yes               |  | 4204807      |
|  | Direct      |  | John Mario Rigney    | Vice President - Chief Compliance Officer | 01-08-2014      | NA - less than 5% | No                |  | 000000000    |

### Execution Page

**Signature:** John Rigney

**Signer Name:** John Rigney

**Title:** VP - Compliance Manager

**Date:** 02-17-2023