Elbert S. Stegall Iii
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elbert S Stegall Iii, who also goes by (iii) Elbert S Stegall, Elbert S Stegall III, Tripp Stegall, was a registered financial professional .
Elbert is a previously registered financial professional and started their career in finance in 1981. Elbert had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - March 28, 2016
SYNOVUS SECURITIES, INC.
September 10, 2009 - March 28, 2016
SYNOVUS SECURITIES, INC.
September 9, 2009 - December 31, 2013
SYNOVUS SECURITIES, INC.
September 3, 2008 - September 11, 2009
EQUITABLE ADVISORS, LLC
July 16, 2008 - September 11, 2009
EQUITABLE ADVISORS, LLC
April 4, 1991 - March 10, 2000
ICBA SECURITIES
January 1, 1991 - March 10, 2000
VINING-SPARKS IBG, LLC
March 9, 1989 - January 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
January 5, 1984 - May 18, 1989
PLANSMITH SECURITIES,INC.
November 16, 1981 - February 1, 1989
VINING-SPARKS SECURITIES, INC.
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
