Barry A. Ezarsky
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.
Barry Alan Ezarsky was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1983. Barry had worked at 9 firms and has passed the Series 63, Series 7 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
March 22, 2002 - July 14, 2014
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
November 7, 2001 - January 25, 2002
R.W. SMITH & ASSOCIATES, LLC
January 1, 2001 - March 28, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 20, 2000 - January 1, 2001
MJK CLEARING, INC.
October 3, 1996 - May 22, 2000
FIRST TRYON SECURITIES, LLC
September 19, 1991 - September 20, 1996
J.C. BRADFORD & CO.
September 4, 1990 - September 20, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 23, 1990 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
March 22, 1983 - June 12, 1990
ASIEL & CO. LLC
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.
