Richard F. Alspaugh
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.
Richard Fowler Alspaugh, who also goes by Rick Alspaugh, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2022 - January 2, 2025
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 13, 2011 - November 8, 2012
NBC SECURITIES, INC.
April 29, 2002 - June 16, 2009
PACES BATTLE GROUP, INC.
April 1, 1999 - October 3, 2000
WACHOVIA SECURITIES, INC.
June 1, 1998 - April 1, 1999
WACHOVIA CAPITAL MARKETS, INC.
January 17, 1992 - June 1, 1998
WACHOVIA BROKERAGE SERVICE
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
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.
