Howard F. Daugherty
SYNOVUS SECURITIES
ROME, GA 30161
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CRD#: 5265086
Professional summary
Howard French Daugherty JR., CFP®, who also goes by Howard French Daugherty, Ward Daugherty, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Rome, Georgia.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Howard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Howard French Daugherty | Ward Daugherty
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) - RIA
Click below to view Howard French Daugherty JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Howard French Daugherty JR.'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®
CFP®
Start date: 2020
Experience
Current
October 29, 2018 - Present
SYNOVUS SECURITIES, INC.
Office #1: 701 Broad Street, Rome, GA 30161Office #2: 135 W. C. Bryant Parkway, Calhoun, GA 30701RIA
BD
CRD#: 14023
ROME, GA
Current
October 29, 2018 - Present
SYNOVUS SECURITIES, INC.
Office #1: 701 Broad Street, Rome, GA 30161Office #2: 135 W. C. Bryant Parkway, Calhoun, GA 30701RIA
BD
CRD#: 14023
ROME, GA
Past
February 14, 2018 - November 8, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
DOUGLASVILLE, GA
Past
February 14, 2018 - November 8, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
DOUGLASVILLE, GA
Past
August 10, 2009 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
DOUGLASVILLE, GA
Past
August 7, 2009 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
DOUGLASVILLE, GA
Past
January 1, 2008 - December 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROME, GA
Past
January 1, 2008 - December 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROME, GA
Past
April 5, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ROME, GA
Past
February 16, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ROME, GA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/13/2018)
IAR
Alabama(11/14/2018)
RR
California(6/1/2022)
IAR
California(6/1/2022)
RR
Colorado(7/30/2024)
RR
Florida(10/29/2018)
IAR
Florida(11/6/2018)
RR
Georgia(10/29/2018)
IAR
Georgia(11/1/2018)
RR
Hawaii(3/30/2020)
IAR
Hawaii(4/7/2020)
RR
Indiana(5/15/2023)
RR
Louisiana(11/15/2024)
RR
Mississippi(2/13/2025)
IAR
Mississippi(2/13/2025)
RR
New Jersey(10/28/2025)
IAR
New Jersey(10/30/2025)
RR
New Mexico(3/30/2020)
IAR
New Mexico(3/31/2020)
RR
New York(11/15/2024)
IAR
New York(11/15/2024)
RR
Ohio(3/30/2020)
RR
Oklahoma(5/21/2025)
IAR
Oklahoma(5/21/2025)
RR
Oregon(3/30/2020)
IAR
Oregon(4/3/2020)
RR
Tennessee(10/29/2018)
RR
Utah(11/30/2023)
RR
Virginia(3/30/2020)
Exams
State Security Law 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.
