KM
Karen S. Mcdaniel
SOUTHSTATE SECURITIES
Memphis, TN 38138
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CRD#: 4012693
KM
Professional summary
Karen Swolensky Mcdaniel, who also goes by Karen Denise Swolensky, is a registered financial professional currently at SOUTHSTATE SECURITIES CORP. located in Memphis, Tennessee.
Karen is registered as a RR (Registered Representative) and started their career in finance in 1999. Karen has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Denise Swolensky
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 Karen Swolensky Mcdaniel'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
October 3, 2007 - Present
SOUTHSTATE SECURITIES CORP.
Office #1: 6750 Poplar Ave. Suite 300, Memphis, TN 38138BD
CRD#: 6950
Memphis, TN
Past
October 16, 2013 - October 21, 2015
SOUTHSTATE SECURITIES CORP.
RIA
CRD#: 6950
MEMPHIS, TN
Past
February 10, 2005 - May 17, 2006
STEPHENS
BD
CRD#: 3496
NASHVILLE, TN
Past
August 13, 2002 - July 28, 2004
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
November 16, 1999 - October 10, 2000
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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(1/7/2010)
RR
Alaska(3/18/2024)
RR
Arizona(3/18/2024)
RR
Arkansas(1/7/2010)
RR
California(6/18/2013)
RR
Colorado(3/18/2024)
RR
Connecticut(3/18/2024)
RR
Delaware(3/18/2024)
RR
District of Columbia(3/18/2024)
RR
Florida(1/7/2010)
RR
Georgia(9/17/2009)
RR
Hawaii(3/18/2024)
RR
Idaho(3/18/2024)
RR
Illinois(3/18/2024)
RR
Indiana(1/7/2010)
RR
Iowa(3/18/2024)
RR
Kansas(3/18/2024)
RR
Kentucky(1/7/2010)
RR
Louisiana(1/7/2010)
RR
Maryland(3/18/2024)
RR
Massachusetts(3/18/2024)
RR
Michigan(3/18/2024)
RR
Minnesota(3/18/2024)
RR
Mississippi(1/7/2010)
RR
Missouri(3/18/2024)
RR
Montana(7/30/2013)
RR
Nevada(3/18/2024)
RR
New Hampshire(3/18/2024)
RR
New Jersey(3/18/2024)
RR
New Mexico(3/18/2024)
RR
New York(9/17/2009)
RR
North Carolina(1/8/2010)
RR
Ohio(1/7/2010)
RR
Oklahoma(1/7/2010)
RR
Oregon(3/18/2024)
RR
Pennsylvania(1/7/2010)
RR
Puerto Rico(3/18/2024)
RR
Rhode Island(3/18/2024)
RR
South Carolina(1/7/2010)
RR
South Dakota(3/18/2024)
RR
Tennessee(10/3/2007)
RR
Texas(1/7/2010)
RR
Utah(3/18/2024)
RR
Virgin Islands(3/18/2024)
RR
Virginia(7/30/2013)
RR
Washington(3/18/2024)
RR
West Virginia(3/18/2024)
RR
Wisconsin(3/18/2024)
RR
Wyoming(9/18/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SOUTHSTATE SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP
CRD#: 6950 / SEC#: 801-68820, 8-18971
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
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)
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.
Company Information
SOUTHSTATE SECURITIES CORP.
CRD#: 6950Memphis, TN 38138TRUST BUT VERIFY
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