Thomas A. Bryan
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.
Thomas Arthur Bryan, who also goes by Tom Bryan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 7 firms and has passed the Series 63, Series 7, Series 53, F04, Series 24 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - October 5, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
July 30, 1993 - August 23, 1993
OSAIC WEALTH, INC.
October 31, 1988 - April 10, 1991
NBC SECURITIES, INC.
September 19, 1983 - October 15, 1986
THOMAS BRYAN & ASSOCIATES, INC.
July 11, 1983 - September 22, 1983
WEBER, HALL, SALE & ASSOCIATES, INC.
October 30, 1979 - December 10, 1981
HAND INVESTMENT COMPANY, INC.
April 17, 1979 - March 28, 1980
JOE JOLLY & CO., INC.
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
F04
Date: 9/26/1979
Financial Principal ExaminationSeries 54FN
Date: 4/4/1979
Municipal Securities Financial and Operations Principal ExaminationCurrent 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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Check for any disclosures as part of your thorough research when choosing an advisor.
