Edgar L. Giovannetti
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.
Edgar Lee Giovannetti was a registered financial advisor .
Edgar is a previously registered financial advisor and started their career in finance in 1980. Edgar had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2014 - July 28, 2014
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 15, 2013 - January 18, 2014
COMMERCE ASSET MANAGEMENT, LLC
October 13, 2009 - January 18, 2014
COMMERCE ADVISORS, LLC
May 24, 2004 - January 30, 2012
CONSULTING SERVICES GROUP, LLC
June 7, 1990 - January 30, 2012
ENERECAP PARTNERS, LLC
February 13, 1989 - June 1, 1990
ING INVESTMENT MANAGEMENT SERVICES LLC
January 27, 1988 - June 1, 1990
ABN AMRO SECURITIES LLC
June 14, 1983 - February 11, 1988
E. F. HUTTON & COMPANY INC
January 19, 1980 - May 11, 1983
MORGAN KEEGAN & COMPANY, LLC
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
Current 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.
