MP
Manuel R. Puello
SOUTHSTATE SECURITIES
Memphis (shelby), TN 38138-7424
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CRD#: 1367594
MP
Professional summary
Manuel Robert Puello is a registered financial professional currently at SOUTHSTATE SECURITIES CORP. located in Memphis (shelby), Tennessee.
Manuel is registered as a RR (Registered Representative) and started their career in finance in 1983. Manuel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Manuel Robert Puello's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 11, 2008 - Present
SOUTHSTATE SECURITIES CORP.
Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424BD
CRD#: 6950
Memphis (shelby), TN
Past
August 4, 2005 - January 9, 2008
POPULAR SECURITIES, LLC
BD
CRD#: 8096
NEW YORK, NY
Past
August 13, 2002 - March 18, 2005
CMI CAPITAL MARKET INVESTMENT, LLC
BD
CRD#: 46219
NEW YORK, NY
Past
April 16, 2002 - May 16, 2002
NATIXIS SECURITIES NORTH AMERICA INC.
BD
CRD#: 28722
NEW YORK, NY
Past
April 24, 1997 - October 24, 2000
NATIXIS SECURITIES NORTH AMERICA INC.
BD
CRD#: 28722
NEW YORK, NY
Past
July 19, 1983 - May 10, 1995
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/9/2019)
RR
Arkansas(1/9/2019)
RR
California(2/11/2008)
RR
Colorado(2/11/2008)
RR
Connecticut(2/11/2008)
RR
District of Columbia(2/11/2008)
RR
Florida(3/20/2008)
RR
Georgia(1/9/2019)
RR
Illinois(2/11/2008)
RR
Indiana(1/9/2019)
RR
Maryland(1/9/2019)
RR
Massachusetts(2/11/2008)
RR
Michigan(2/11/2008)
RR
Minnesota(1/9/2019)
RR
Missouri(1/9/2019)
RR
New Hampshire(1/9/2019)
RR
New Jersey(2/11/2008)
RR
New York(2/11/2008)
RR
North Carolina(2/11/2008)
RR
Ohio(1/9/2019)
RR
Oklahoma(1/9/2019)
RR
Pennsylvania(2/11/2008)
RR
Puerto Rico(3/20/2008)
RR
Tennessee(1/9/2019)
RR
Texas(1/9/2019)
RR
Virginia(2/11/2008)
RR
Washington(3/20/2008)
RR
Wisconsin(1/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SOUTHSTATE SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
CRD#: 6950 / SEC#: 801-68820, 8-18971
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SOUTHSTATE SECURITIES CORP.
CRD#: 6950Memphis (shelby), TN 38138-7424TRUST BUT VERIFY
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