Albert E. Laughlin
Professional summary
Albert Edward Laughlin III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Albert is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Albert had worked at 2 firms, which includes SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP., B. RILEY WEALTH MANAGEMENT.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2010 - May 14, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 16, 2009 - May 14, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 30, 2004 - May 29, 2009
B. RILEY WEALTH MANAGEMENT
May 29, 2001 - May 29, 2009
B. RILEY WEALTH MANAGEMENT
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.
