David M. Adams
Professional summary
David Mclean Adams, who also goes by David M Adams, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Charlotte, North Carolina.
David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 7 firms and has passed the Series 63, SIE, Series 50, Series 52, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Mclean Adams's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2023 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Office #1: 6525 Carnegie Blvd Suite 410, Charlotte, NC 28211September 27, 2019 - December 23, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 1, 2012 - September 27, 2019
GEORGE K. BAUM & COMPANY
March 20, 2006 - October 19, 2012
SCOTT & STRINGFELLOW, LLC
February 6, 2001 - May 18, 2001
CITIGROUP GLOBAL MARKETS INC.
August 17, 2000 - May 18, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
February 24, 1998 - July 31, 2000
BANC OF AMERICA SECURITIES LLC
August 30, 1991 - March 15, 1996
BANC OF AMERICA SECURITIES 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
(10/31/2023)
(11/13/2023)
(11/29/2023)
(10/31/2023)
(11/7/2023)
(11/1/2023)
Exams
FINRA
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.
