Ladd A. Dinkins
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.
Ladd Augustine Dinkins JR, who also goes by Ladd Augustin Dinkins Jr, was a registered financial advisor .
Ladd is a previously registered financial advisor and started their career in finance in 1972. Ladd had worked at 7 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2006 - May 1, 2009
MORGAN KEEGAN & COMPANY, LLC
May 24, 2006 - May 1, 2009
MORGAN KEEGAN & COMPANY, LLC
May 13, 2005 - June 15, 2006
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
October 18, 2002 - May 18, 2005
STERNE, AGEE & LEACH, INC.
August 14, 2000 - October 22, 2002
UBS FINANCIAL SERVICES INC.
January 27, 1992 - August 14, 2000
J.C. BRADFORD & CO.
February 16, 1990 - January 27, 1992
LADD DINKINS & COMPANY
February 17, 1972 - February 16, 1990
LADD DINKINS & COMPANY
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 1
Date: 2/12/1972
Registered Representative ExaminationSeries 00
Date: 4/13/1974
General Securities Principal ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
