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KS

Kevin A. Smith

SOUTHSTATE|DUNCANWILLIAMS SECURITIES
Memphis (shelby), TN 38138-7424
Some features on this profile are disabled
CRD#: 5365122
KS

Professional summary

Kevin Andrew Smith is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Memphis (shelby), Tennessee.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Kevin Andrew Smith'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

April 8, 2025 - Present

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Office #1: 6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
BD
CRD#: 6950
Memphis (shelby), TN
Past

April 22, 2022 - April 4, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
MEMPHIS, TN
Past

August 28, 2009 - December 17, 2019

ICBA SECURITIES

BD
CRD#: 24088
MEMPHIS, TN
Past

August 8, 2008 - April 22, 2022

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN

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
Tennessee
(4/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SOUTHSTATE BANK, NATIONAL ASSOCIATIONOWNER
BONONNO, JOSEPH KEMPCHIEF FINANCIAL OFFICER7437632
CHERRY, JAMES CROWELLCHIEF COMPLIANCE OFFICER2870353
HODGES, STUART LEESVP, PRESIDENT7370566
HOWARD, HEATHER DIANECORPORATE SECRETARY/COMPLIANCE OFFICER4349745
TUCKER, KIMBERLY SHAYOPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER7370391

Disclosures

Regulatory Event9
Arbitration1

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.

Company Information

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950Memphis (shelby), TN 38138-7424

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