Benjamin L. Carrick
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.
Benjamin Lane Carrick, who also goes by Lane Carrick, was a registered financial advisor .
Benjamin is a previously registered financial advisor and started their career in finance in 1983. Benjamin had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 3, Series 6, Series 4 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
December 14, 2012 - July 9, 2013
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
November 1, 2012 - July 9, 2013
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 4, 2011 - March 30, 2011
UNITED CAPITAL FINANCIAL ADVISORS
September 9, 2010 - September 13, 2010
UNITED CAPITAL FINANCIAL ADVISORS
May 10, 2007 - December 31, 2010
SOVEREIGN WEALTH MANAGEMENT INC
August 25, 1983 - December 19, 1990
MORGAN STANLEY DW INC.
May 5, 1983 - July 29, 1983
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
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
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
