Dominique Vacheron
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.
Dominique Vacheron, who also goes by Dom Vacheron, was a registered financial professional .
Dominique is a previously registered financial professional and started their career in finance in 2000. Dominique had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2024 - September 17, 2025
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 14, 2016 - July 28, 2022
FHN FINANCIAL SECURITIES CORP.
January 6, 2014 - July 6, 2015
B. RILEY WEALTH MANAGEMENT
December 3, 2012 - July 11, 2013
CANTOR FITZGERALD & CO.
April 20, 2012 - November 29, 2012
CRT CAPITAL GROUP LLC
December 18, 2007 - April 4, 2012
RAYMOND JAMES & ASSOCIATES, INC.
December 18, 2007 - April 4, 2012
RAYMOND JAMES & ASSOCIATES, INC.
April 23, 2004 - October 9, 2007
RBC CAPITAL MARKETS, LLC
April 23, 2004 - October 9, 2007
RBC CAPITAL MARKETS, LLC
January 9, 2004 - April 22, 2004
MORGAN KEEGAN & COMPANY, LLC
August 9, 2000 - April 22, 2004
MORGAN KEEGAN & COMPANY, LLC
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.
