Samuel C. Jolly
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.
Samuel Cornelius Jolly was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1982. Samuel had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1990 - January 14, 1991
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 19, 1990 - February 27, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
June 4, 1987 - January 13, 1990
SWINK & COMPANY, INC.
June 20, 1985 - June 11, 1987
BOWMAN & COMPANY INCORPORATED
August 23, 1984 - June 13, 1985
POWELL & SATTERFIELD, INC.
April 23, 1984 - August 14, 1984
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 22, 1983 - April 25, 1984
FIRST INVESTMENT SECURITIES, INC.
December 6, 1982 - July 28, 1983
BRITTENUM & ASSOCIATES, 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.
