Alfred H. Birdsall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alfred Henry Birdsall, who also goes by Al Birdsall, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1974. Alfred had worked at 10 firms and has passed the Series 63, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2013 - February 14, 2018
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 10, 1993 - October 10, 2012
KEYBANC CAPITAL MARKETS INC.
September 4, 1990 - August 26, 1992
WELLS FARGO CLEARING SERVICES, LLC
December 1, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
June 9, 1982 - December 7, 1988
MORGAN STANLEY DW INC.
January 31, 1980 - June 24, 1982
UBS FINANCIAL SERVICES INC.
March 2, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 17, 1977 - March 22, 1979
BECKER PARIBAS INCORPORATED
December 24, 1974 - June 17, 1977
A. G. BECKER INCORPORATED
August 1, 1974 - November 25, 1975
A. G. BECKER & CO., 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
PC
Date: 3/7/1989
AMEX Put and Call ExamSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 7/29/1974
Registered Representative 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
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.
