VB
Vanessa W. Barber
SYNOVUS SECURITIES
Birmingham, AL 35209
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CRD#: 2499369
VB
Professional summary
Vanessa Whaley Barber, who also goes by Vanessa Dawn Barber, Vanessa Dawn Whaley, is a registered financial professional currently at SYNOVUS SECURITIES, INC. located in Birmingham, Alabama.
Vanessa is registered as a RR (Registered Representative) and started their career in finance in 1995. Vanessa has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vanessa Dawn Barber | Vanessa Dawn Whaley
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.
CRS (Client Relationship Summary) - BD
Click below to view Vanessa Whaley Barber's 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®
NoneExperience
Current
May 15, 2014 - Present
SYNOVUS SECURITIES, INC.
Office #1: 800 Shades Creek Parkway, Birmingham, AL 35209RIA
BD
CRD#: 14023
Birmingham, AL
Past
February 13, 2013 - May 14, 2014
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BIRMINGHAM, AL
Past
February 13, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
BIRMINGHAM, AL
Past
August 1, 2001 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
May 20, 1999 - July 31, 2001
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
April 28, 1999 - May 20, 1999
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
Past
August 3, 1998 - May 7, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
August 20, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
February 5, 1996 - April 26, 1999
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
March 6, 1995 - February 10, 1996
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/15/2014)
RR
Arizona(4/18/2019)
RR
Arkansas(8/12/2022)
RR
California(5/20/2014)
RR
Colorado(5/20/2014)
RR
District of Columbia(2/24/2025)
RR
Florida(5/20/2014)
RR
Georgia(5/20/2014)
RR
Illinois(5/20/2014)
RR
Indiana(9/24/2019)
RR
Kentucky(5/20/2014)
RR
Louisiana(5/20/2014)
RR
Maryland(5/20/2014)
RR
Massachusetts(9/24/2019)
RR
Michigan(8/12/2022)
RR
Mississippi(5/20/2014)
RR
Missouri(3/18/2021)
RR
Montana(3/28/2019)
RR
Nebraska(8/12/2022)
RR
Nevada(9/24/2019)
RR
New Jersey(4/18/2019)
RR
New Mexico(8/23/2024)
RR
New York(5/20/2014)
RR
North Carolina(5/20/2014)
RR
Ohio(10/2/2019)
RR
Oregon(9/24/2019)
RR
Pennsylvania(8/12/2022)
RR
Rhode Island(2/11/2025)
RR
South Carolina(5/20/2014)
RR
Tennessee(5/20/2014)
RR
Texas(5/20/2014)
RR
Utah(9/24/2019)
RR
Virginia(5/20/2014)
RR
West Virginia(2/11/2025)
RR
Wisconsin(9/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
Company Information
SYNOVUS SECURITIES, INC.
CRD#: 14023Birmingham, AL 35209TRUST BUT VERIFY
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