Mark C. Mccabe

SOUTHSTATE|DUNCANWILLIAMS SECURITIES

Memphis (shelby), TN 38138-7424

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CRD#: 1486908

Professional summary

Mark Connell Mccabe is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Memphis (shelby), Tennessee.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Connell Mccabe's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 21, 2025 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424

CRD#: 10

HARTFORD, CT

Past

April 23, 1986 - September 20, 1994

FLEET SECURITIES INC.

CRD#: 7147

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/21/2025)

Connecticut
(1/21/2025)

Florida
(1/21/2025)

Illinois
(1/21/2025)

Massachusetts
(1/21/2025)

Minnesota
(1/21/2025)

New Jersey
(1/21/2025)

New Mexico
(1/21/2025)

New York
(1/21/2025)

North Carolina
(1/21/2025)

Oregon
(1/21/2025)

Pennsylvania
(1/21/2025)

South Carolina
(1/21/2025)

Tennessee
(1/21/2025)

Exams

State Security Law Exam

Series 63

Date: 4/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP

CRD#: 6950 / SEC#: 801-68820, 8-18971

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

6750 Poplar Avenue Suite 300, Memphis, TN 38138

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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.

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Mark C. Mccabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Connell Mccabe's CRS (Customer Relationship Summary).

Certified licenses

Experience

A.G.P. / ALLIANCE GLOBAL PARTNERS

ZEUS FINANCIAL, LLC

INSPEREX LLC

280 SECURITIES LLC

JANNEY MONTGOMERY SCOTT LLC

FIRST SOUTHWEST COMPANY, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STONE & YOUNGBERG LLC

QUICK & REILLY, INC.

APEX CLEARING CORPORATION

J.P. MORGAN SECURITIES LLC

ADVEST, INC.

FLEET SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

FINRA

Current Firm

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

TRUST BUT VERIFY

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