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MM

Melinda J. Manley

SOUTHSTATE|DUNCANWILLIAMS SECURITIES
Houston, TX 77046
Some features on this profile are disabled
CRD#: 1848846
MM

Professional summary

Melinda Johanna Manley, who also goes by Melinda Manley Jones, Mindy Manley, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Houston, Texas.

Melinda is registered as a RR (Registered Representative) and started their career in finance in 1988. Melinda has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melinda Manley Jones | Mindy Manley

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 Melinda Johanna Manley'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

February 23, 2024 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 9 Greenway Plaza Suite 3120, Houston, TX 77046
BD
CRD#: 6950
Houston, TX
Past

April 23, 2010 - December 12, 2023

FLAGSTAR ADVISORS

BD
CRD#: 104233
HOUSTON, TX
Past

November 28, 2006 - April 13, 2010

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
HOUSTON, TX
Past

September 24, 2002 - November 2, 2006

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
HOUSTON, TX
Past

March 14, 2001 - October 1, 2002

USI SECURITIES, INC.

BD
CRD#: 43793
GLASTONBURY, CT
Past

September 1, 2000 - February 20, 2001

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

November 30, 1999 - June 14, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 12, 1995 - August 19, 1999

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

June 24, 1988 - January 12, 1995

AMERICAN CAPITAL MARKETING, INC.

BD
CRD#: 6699
Past

June 23, 1988 - December 31, 1989

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA

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
(2/23/2024)
RR
Alaska
(2/23/2024)
RR
Arizona
(2/23/2024)
RR
Arkansas
(2/23/2024)
RR
California
(2/23/2024)
RR
Colorado
(2/23/2024)
RR
Connecticut
(2/23/2024)
RR
Delaware
(2/23/2024)
RR
District of Columbia
(2/23/2024)
RR
Florida
(2/23/2024)
RR
Georgia
(2/23/2024)
RR
Hawaii
(2/23/2024)
RR
Idaho
(2/23/2024)
RR
Illinois
(2/23/2024)
RR
Indiana
(2/23/2024)
RR
Iowa
(2/23/2024)
RR
Kansas
(2/23/2024)
RR
Kentucky
(2/23/2024)
RR
Louisiana
(2/23/2024)
RR
Maryland
(2/23/2024)
RR
Massachusetts
(2/23/2024)
RR
Michigan
(2/23/2024)
RR
Minnesota
(2/23/2024)
RR
Mississippi
(2/23/2024)
RR
Missouri
(2/23/2024)
RR
Montana
(2/23/2024)
RR
Nevada
(2/23/2024)
RR
New Hampshire
(2/23/2024)
RR
New Jersey
(2/23/2024)
RR
New Mexico
(2/23/2024)
RR
New York
(2/23/2024)
RR
North Carolina
(2/23/2024)
RR
Ohio
(2/23/2024)
RR
Oklahoma
(2/23/2024)
RR
Oregon
(2/23/2024)
RR
Pennsylvania
(2/23/2024)
RR
Puerto Rico
(2/23/2024)
RR
Rhode Island
(2/23/2024)
RR
South Carolina
(2/23/2024)
RR
South Dakota
(2/23/2024)
RR
Tennessee
(2/23/2024)
RR
Texas
(2/23/2024)
RR
Utah
(2/23/2024)
RR
Virgin Islands
(2/23/2024)
RR
Virginia
(2/23/2024)
RR
Washington
(2/23/2024)
RR
West Virginia
(2/23/2024)
RR
Wisconsin
(2/23/2024)
RR
Wyoming
(2/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/22/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
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

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SOUTHSTATE BANK, NATIONAL ASSOCIATIONOWNER
BONONNO, JOSEPH KEMPCHIEF FINANCIAL OFFICER7437632
CHERRY, JAMES CROWELLCHIEF COMPLIANCE OFFICER2870353
HODGES, STUART LEESVP, PRESIDENT7370566
HOWARD, HEATHER DIANECORPORATE SECRETARY/COMPLIANCE OFFICER4349745
TUCKER, KIMBERLY SHAYOPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER7370391

Disclosures

Regulatory Event9
Arbitration1

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.

Company Information

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950Houston, TX 77046

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