Andrew M. Cloud

SOUTHSTATE|DUNCANWILLIAMS SECURITIES

Houston, TX 77046

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CRD#: 2220852

Professional summary

Andrew Maynard Cloud is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Houston, Texas.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1992. Andrew has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Maynard Cloud's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 23, 2024 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 9 Greenway Plaza Suite 3120, Houston, TX 77046

CRD#: 6950

Houston, TX

Past

May 15, 2013 - December 12, 2023

FLAGSTAR ADVISORS

CRD#: 104233

HOUSTON, TX

Past

December 15, 2005 - May 13, 2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

HOUSTON, TX

Past

December 1, 2005 - May 13, 2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

HOUSTON, TX

Past

June 28, 2004 - December 2, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

HOUSTON, TX

Past

August 15, 2000 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

March 20, 1998 - July 26, 2000

SPIRES FINANCIAL, L.P.

CRD#: 38209

HOUSTON, TX

Past

November 25, 1996 - February 13, 1998

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

March 1, 1996 - October 1, 1996

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 17, 1995 - February 13, 1996

FELTMAN & CO

CRD#: 26543

ATLANTA, GA

Past

June 21, 1994 - June 20, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

October 21, 1992 - June 20, 1994

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

NEW ORLEANS, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/23/2024)

Alaska
(2/23/2024)

Arizona
(2/23/2024)

Arkansas
(2/23/2024)

California
(2/23/2024)

Colorado
(2/23/2024)

Connecticut
(2/23/2024)

Delaware
(2/23/2024)

District of Columbia
(2/23/2024)

Florida
(2/23/2024)

Georgia
(2/23/2024)

Hawaii
(2/23/2024)

Idaho
(2/23/2024)

Illinois
(2/23/2024)

Indiana
(2/23/2024)

Iowa
(2/23/2024)

Kansas
(2/23/2024)

Kentucky
(2/23/2024)

Louisiana
(2/23/2024)

Maryland
(2/23/2024)

Massachusetts
(2/23/2024)

Michigan
(2/23/2024)

Minnesota
(2/23/2024)

Mississippi
(2/23/2024)

Missouri
(2/23/2024)

Montana
(2/23/2024)

Nevada
(2/23/2024)

New Hampshire
(2/23/2024)

New Jersey
(2/23/2024)

New Mexico
(2/23/2024)

New York
(2/23/2024)

North Carolina
(2/23/2024)

Ohio
(2/26/2024)

Oklahoma
(2/23/2024)

Oregon
(2/23/2024)

Pennsylvania
(2/23/2024)

Puerto Rico
(2/23/2024)

Rhode Island
(2/23/2024)

South Carolina
(2/23/2024)

South Dakota
(2/23/2024)

Tennessee
(2/23/2024)

Texas
(2/23/2024)

Utah
(2/23/2024)

Virgin Islands
(2/23/2024)

Virginia
(2/23/2024)

Washington
(2/23/2024)

West Virginia
(2/23/2024)

Wisconsin
(2/23/2024)

Wyoming
(2/23/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/26/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP

CRD#: 6950 / SEC#: 801-68820, 8-18971

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

6750 Poplar Avenue Suite 300, Memphis, TN 38138

Mailing Address

6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424

Phone number

(901) 260-6800

Established

Tennessee since 03/31/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Andrew M. Cloud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Maynard Cloud's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLAGSTAR ADVISORS

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

SPIRES FINANCIAL, L.P.

BNY MELLON CAPITAL MARKETS, LLC

JOSEPHTHAL & CO., INC.

FELTMAN & CO

H.J. MEYERS & CO., INC.

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2004

Series 63

Date: 10/16/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1992

FINRA

Current Firm

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

TRUST BUT VERIFY

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