AG
Alan K. Grantham
SYNOVUS SECURITIES
Atlanta, GA 30339
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CRD#: 4774055
AG
Professional summary
Alan Kent Grantham, who also goes by Alan K Grantham, Alan Kent Grantham Jr, Alan Kent Grantham, is a registered financial professional currently at SYNOVUS SECURITIES, INC. located in Atlanta, Georgia.
Alan is registered as a RR (Registered Representative) and started their career in finance in 2007. Alan has worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alan K Grantham | Alan Kent Grantham Jr | Alan Kent Grantham
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 Alan Kent Grantham'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
September 8, 2022 - Present
SYNOVUS SECURITIES, INC.
Office #1: 3400 Overton Park Dr Se, Atlanta, GA 30339RIA
BD
CRD#: 14023
Atlanta, GA
Past
October 2, 2019 - August 17, 2022
SMBC NIKKO SECURITIES CANADA, LTD.
BD
CRD#: 297706
NEW YORK, NY
Past
June 1, 2016 - August 17, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
Past
September 19, 2011 - May 26, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 31, 2007 - June 4, 2009
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
April 19, 2007 - May 11, 2007
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(9/8/2022)
RR
Arizona(1/4/2024)
RR
California(12/8/2023)
RR
Colorado(1/4/2024)
RR
Connecticut(1/4/2024)
RR
District of Columbia(1/4/2024)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Illinois(1/4/2024)
RR
Indiana(1/4/2024)
RR
Iowa(1/4/2024)
RR
Maryland(1/4/2024)
RR
Massachusetts(1/4/2024)
RR
Michigan(1/4/2024)
RR
Minnesota(1/4/2024)
RR
Mississippi(1/4/2024)
RR
Missouri(1/4/2024)
RR
New Jersey(1/4/2024)
RR
New York(1/4/2024)
RR
North Carolina(1/4/2024)
RR
Ohio(1/4/2024)
RR
Pennsylvania(1/4/2024)
RR
South Carolina(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(1/4/2024)
RR
Utah(1/4/2024)
RR
Virginia(1/4/2024)
RR
Washington(1/4/2024)
RR
Wisconsin(1/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
