John S. Mcswain
Professional summary
John Scott Mcswain, who also goes by Scott Mcswain, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Memphis (shelby), Tennessee.
John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Scott Mcswain's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2022 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424February 13, 2008 - May 20, 2022
VINING-SPARKS IBG, LLC
February 22, 2005 - October 29, 2007
TRUIST SECURITIES, INC.
May 18, 1995 - February 22, 2005
NBC CAPITAL MARKETS GROUP, INC.
April 24, 1992 - May 23, 1995
UBS FINANCIAL SERVICES INC.
December 9, 1991 - April 2, 1992
J.P. MORGAN SECURITIES LLC
July 23, 1991 - August 29, 1991
PROGRESSIVE CAPITAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
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
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Company Information
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950Memphis (shelby), TN 38138-7424TRUST BUT VERIFY
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