Thomas Arsenault
Professional summary
Thomas Arsenault, who also goes by Tom Arsenault, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Atlanta, Georgia.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 1 firm and has passed the Series 63, Series 7TO and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Arsenault's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 2022 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Office #1: 400 Interstate N Pkwy Suite 1200, Atlanta, GA 30339State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2022)
Exams
Series 7TO
Date: 3/1/2023
General Securities Representative ExaminationFINRA
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
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