Adam A. Tooley

SOUTHSTATE|DUNCANWILLIAMS SECURITIES

Venice, FL 34285

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CRD#: 2654074

Professional summary

Adam Arthur Tooley, who also goes by Adam Tooley, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Venice, Florida.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1997. Adam has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam Tooley

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 Adam Arthur Tooley'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 11, 2008 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 901 Venetia Bay Blvd #240, Venice, FL 34285

CRD#: 6950

Venice, FL

Past

April 3, 2007 - February 11, 2008

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

October 19, 2006 - March 29, 2007

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

SARASOTA, FL

Past

August 27, 2002 - August 16, 2005

SOVEREIGN SECURITIES CORPORATION, LLC

CRD#: 112638

PHILADELPHIA, PA

Past

January 23, 1997 - August 14, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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

Florida
(5/21/2024)

Tennessee
(2/11/2008)

Exams

State Security Law Exam

Series 63

Date: 9/6/2002

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: 8/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/16/1995

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2019

General Securities Principal 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.

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Firm Stability Insights

Adam A. Tooley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Arthur Tooley's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

SOVEREIGN SECURITIES CORPORATION, LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2002

Series 3

Date: 8/16/1995

Series 24

Date: 6/3/2019

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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