Edward B. Fox
Professional summary
Edward Benedict Fox JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Edward had worked at 7 firms, which includes SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP., SWINK & COMPANY INC., TANLEY AND OAKLEY INVESTMENT CO., F. L. LAWRENCE & COMPANY INC., F. D. BENTON & ASSOCIATES INC., UMIC INC., SELLERS INVESTMENT COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1981 - April 27, 2000
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 12, 1981 - June 2, 1981
SWINK & COMPANY, INC.
May 17, 1978 - February 26, 1981
TANLEY AND OAKLEY INVESTMENT CO.
September 22, 1976 - May 21, 1978
F. L. LAWRENCE & COMPANY, INC.
March 4, 1976 - November 8, 1976
F. D. BENTON & ASSOCIATES, INC.
December 16, 1974 - May 3, 1975
UMIC, INC.
October 13, 1971 - April 27, 1973
SELLERS INVESTMENT COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 00
Date: 9/24/1971
General Securities Principal ExaminationCurrent 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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