Connie R. Doan
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.
Connie Rice Doan, who also goes by C R Doan, Cr Doan, Cr Rice, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1976. Connie had worked at 10 firms and has passed the Series 63, Series 6, Series 24, Series 53 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1990 - August 22, 1990
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
October 18, 1989 - March 3, 1990
CORNERSTONE SECURITIES, INC.
September 22, 1988 - April 3, 1989
FSC SECURITIES CORPORATION
August 23, 1988 - September 10, 1988
TOWNES & CO., INC.
December 1, 1987 - July 14, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
November 14, 1983 - December 7, 1987
BRENNER STEED, INC.
January 28, 1983 - October 25, 1983
PARK, RYAN OF TENNESSEE, INC.
June 29, 1982 - July 26, 1982
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 12, 1981 - October 30, 1981
DONALD SHELDON & CO., INC.
May 31, 1979 - July 7, 1979
A. G. EDWARDS & SONS, INC.
March 14, 1977 - June 22, 1979
POWELL & ASSOCIATES, INC. INC.
March 1, 1976 - January 6, 1977
IBC-TANNER KELLY & CO., 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
Series 40
Date: 1/28/1977
Registered Principal 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
