SYNOVUS SECURITIES, INC. of COLUMBUS, GA is an SEC-registered investment adviser (CRD 14023). Regulatory assets under management: $8.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations, Other.
Showing 25 of 35 people.
| Name | Role | Location |
|---|---|---|
| Michelle Jessup Mckenzie | ROP | — |
| Guy Leonard Sexton | EVP/DIRECTOR | — |
| Robert Parker Varner | PRESIDENT | — |
| Gene Frederick Gunderson | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | — |
| Robert Ward Law | PRESIDENT - CFG DIVISION | — |
| Leah Jeanette Kirk | CHIEF OPERATIONS OFFICER | — |
| William Thomas Brooks | CHIEF COMPLIANCE OFFICER | — |
| Jenna Kelley Eleam | CHIEF FINANCIAL OFFICER / FINOP | — |
| Jayne Barry Hill | DIRECTOR/PRESIDENT OF WEALTH SERVICES | — |
| Marie Katz | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL | — |
| LAW ROBERT WARD | PRESIDENT - CFG DIVISION | — |
| SEXTON GUY LEONARD | EVP/DIRECTOR | — |
| BURNS LILLIAN ENFINGER | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER/DIRECTOR (+3 more) | — |
| VARNER ROBERT PARKER | EVP; EVP & DIRECTOR; PRESIDENT | — |
| WEST CHARLES GLEN | FINANCIAL PRINCIPAL; FINANCIAL PRINCIPAL/CHIEF FINANCIAL OFFICER | — |
| SINGLETON JEFFERY BARTON | PRESIDENT; PRESIDENT/CEO | — |
| WALL JAMES THOMAS JR | BOND TRADING MANAGER & DIRECTOR; BOND TRADING MANAGER/DIRECTOR | — |
| KLEPCHICK ANDREW RICHARD JR | DIRECTOR; EVP/PRESIDENT/CEO | — |
| HALLMAN KYLE JAY | ROSFP; SROP | — |
| SHINKLE JOHN ATKINSON | EVP & DIRECTOR; EVP/DIRECTOR | — |
| WHIPPLE PATRICIA LOUISE | SVP AND CHIEF OPER. OFFICER; SVP & CHIEF OPER. OFFICER | — |
| MALLARD ALFRED DANIEL | PRESIDENT; PRESIDENT/SROP; PRESIDENT/SROP/CEO/CHAIRMAN | — |
| PERKINS WILLIAM GENE | CEO; DIRECTOR | — |
| BYRNE DONNA A | CHIEF COMPLIANCE OFFICER | — |
| FOWLER MICHAEL EDWARD | ROP; ROSFP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-10-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO SANCTIONS AND FINDINGS THAT, FROM JANUARY 2022 TO SEPTEMBER 2025, SYNOVUS FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ADDRESS FORGERY AND FALSIFICATION OF ELECTRONIC SIGNATURES.… | Final | $315K |
| 2006-06-01 | regulatory | OVER A PERIOD OF SEVERAL YEARS, SSI DESIGNATED 15 BRANCH OFFICES IN FLORIDA ON ITS SCHEDULE E WITH THE NASD AND CONDUCTED BUSINESS FROM THESE LOCATIONS. SSI WAS UNAWARE THAT FURTHER ACTION WOULD BE REQUIRED TO FILE THESE LOCATIONS WITH THE STATE OF FLORIDA AND HAD PREVIOUSLY INFORMED THE STATE OF FL… | Final | $38K |
| 2004-01-26 | regulatory | THE NASD ALLEGED THAT SSI FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE ADEQUATE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED WITH A VIEW TOWARDS PREVENTING CONVERSION OR MISUSE OF FUNDS. | Final | $10K |
| 1999-10-25 | regulatory | ON OCTOBER 25, 1999, SYNOVUS SECURITIES,INC RECEIVED AN UNEXECUTED LETTER OF ACCEPTANCE, WAIVER AND CONSENT FOR THE NASD. THE "AWC" RELATED TO ALLEGED TRADE REPORTING VIOLATIONS FOR TRADE DATES JUNE 2,1997 THROUGH JUNE 13, 1997. SSI HAS EXECUTED THE "AWC" AND ACCEPTS AND CONSENTS, WITHOUT ADMITTING… | Final | $9K |
| 1998-12-14 | regulatory | THAT SSI CONDUCTED BROKERAGE BUSINESS IN THE STATE OF NEW MEXICO PRIOR TO RECEIVING THE APPROPRIATE STATE REGISTRATION | Final | $2K |
| 1998-11-04 | regulatory | THAT SSI CONDUCTED BROKERAGE BUSINESS IN THE STATE OF NORTH DAKOTA PRIOR TO RECEIVING THE APPROPRIATE STATE REGISTATION | Final | $4K |
| 1998-09-01 | regulatory | THAT SSI CONDUCTED BROKERAGE BUSINESS IN THE STATE OF MAINE PRIOR TO RECEIVING THE APPROPRIATE REGISTRATION | Final | $3K |
| 1998-08-19 | regulatory | THAT SSI CONDUCTED BROKERAGE BUSINESS IN THE STATE OF RHODE ISLAND PRIOR TO RECEIVING THE APPROPRIATE STATE REGISTRATION | Final | $1K |
| 1998-01-28 | regulatory | ALLEGED THAT SSI CONDUCTED BROKERAGE BUSINESS IN THE STARE OF CT. PRIORT TO RECEIVING THE APPROPRIATE STATE REGISTRATION | Final | $4K |
| 1994-07-05 | regulatory | THE SEC ALLEGED THAT CONTRARY TO ITS REGULATORS, SYNOVUS SECURITIES THROUGH ITS NOW RETIRED PRESIDENT, CLARK REED, JR., INTERPOSED A THIRD PARTY BETWEEN ITSELF AND THE MARKET IN OVER 120 MUNICIPAL TRADES FOR 1988 TO 1991 | Final | $200K |