Brian Branigan
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.
Brian Branigan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 10 firms and has passed the Series 63, SIE 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
August 2, 2023 - April 1, 2025
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 5, 2021 - November 28, 2022
HILLTOP SECURITIES INC.
September 18, 2006 - June 19, 2020
TRUIST SECURITIES, INC.
August 27, 2004 - May 17, 2006
CANTOR FITZGERALD & CO.
January 19, 1995 - August 2, 2004
ICBA SECURITIES
November 2, 1994 - August 2, 2004
VINING-SPARKS IBG, LLC
March 18, 1994 - November 4, 1994
ROBERT THOMAS SECURITIES, INC
July 12, 1991 - January 13, 1994
FIRST EMPIRE SECURITIES, INC.
June 21, 1991 - August 2, 1991
NORTHEAST SECURITIES, LLC
July 7, 1989 - January 29, 1990
WILLIAMS SECURITIES GROUP, INC.
June 3, 1986 - February 15, 1990
FIRST EMPIRE SECURITIES, 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.
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