Wayne Sorokowski
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.
Wayne Sorokowski was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1973. Wayne had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2009 - December 15, 2009
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 13, 2009 - May 4, 2012
R.W. SMITH & ASSOCIATES, LLC
August 23, 2005 - August 9, 2007
RBC CAPITAL MARKETS CORPORATION
June 16, 2004 - August 9, 2007
RBC CAPITAL MARKETS, LLC
June 14, 2004 - August 9, 2007
RBC CAPITAL MARKETS, LLC
July 1, 2003 - June 24, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 24, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 30, 1978 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - December 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 1/24/1973
Registered Representative ExaminationCurrent 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.
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