Justin T. Lachey

SOUTHSTATE|DUNCANWILLIAMS SECURITIES

Memphis, TN 38138

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CRD#: 4384044

Professional summary

Justin Thomas Lachey, who also goes by Justin T Lachey, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Memphis, Tennessee.

Justin is registered as a RR (Registered Representative) and started their career in finance in 2004. Justin has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Justin T Lachey

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 Justin Thomas Lachey'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

October 17, 2005 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 6750 Poplar Ave. Suite 300, Memphis, TN 38138

CRD#: 6950

Memphis, TN

Past

July 8, 2004 - April 25, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MEMPHIS, TN

Past

May 27, 2004 - April 25, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

California
(1/4/2007)

Georgia
(1/23/2009)

Illinois
(8/27/2018)

Indiana
(2/6/2014)

Kentucky
(5/25/2007)

Michigan
(5/25/2007)

North Carolina
(1/8/2019)

Ohio
(10/18/2005)

Tennessee
(10/25/2005)

Texas
(2/14/2006)

Virginia
(1/8/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/9/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/26/2004

General Securities Representative 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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Justin T. Lachey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Justin Thomas Lachey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2004

Series 63

Date: 10/22/2003

SIE

Date: 10/1/2018

Series 31

Date: 7/9/2004

Series 7

Date: 5/26/2004

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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