SYNOVUS SECURITIES, INC.
Adviser information for SYNOVUS SECURITIES, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 292 |
|---|---|
| Investment Advisory/Research | 186 |
| Registered Broker-Dealer Representatives | 237 |
| Registered State Investment Advisers | 186 |
| Licensed Agents of an Insurance Company | 178 |
| No. of Firms/People that Solicit Clients | 13 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7,606 | $3.8B |
| Non-Discretionary | 4,431 | $2.5B |
| Total | 12,037 | $6.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10,221 | $2.4B |
| HNW Individuals | 1,383 | $3.3B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 122 | $153.6M |
| Charitable organizations | 82 | $132.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 229 | $263.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 100 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsTAX RELATED SERVICES, ADMINISTRATIVE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agentRegistered municipal advisorTAX RELATED SERVICES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 4.2B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SYNOVUS INVESTMENT SOLUTIONS | SYNOVUS SECURITIES, INC. |
Principal Office
SYNOVUS CENTRE, 1111 BAY AVENUE, 4TH FLOORCOLUMBUS
GA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 706-649-2327, Fax: None
Chief Compliance Officer
GENE F. GUNDERSON
SENIOR VICE PRESIDENT; DIRECTOR OF BROKERAGE AND TRUST COMPLIANCE
SYNOVUS CENTRE, 1111 BAY AVENUE
4TH FLOOR
COLUMBUS
GA
United States
Tel:
706-644-0298
G************@**********M
(Full email address available in API data)
Regulatory Contact
WILLIAM BROOKS
COMPLIANCE MANAGER
8025 WESTSIDE PARKWAY
ALPHARETTA
GA
United States
Tel:
404-364-2777
W************@**********M
(Full email address available in API data)
Industry Affiliates
| SYNOVUS BANK | Banking or thrift institutionInsurance company or agency |
| SYNOVUS TRUST COMPANY | Trust companyInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SEXTON, GUY LEONARD | Individual | – | EVP/DIRECTOR | 08/1985 | < 5% |
| VARNER, ROBERT PARKER | Individual | – | PRESIDENT | 11/2022 | < 5% |
| SYNOVUS FINANCIAL CORP. | Domestic Entity | – | SYNOVUS SECURITIES, INC PARENT | 08/2001 | > 75% |
| GUNDERSON, GENE FREDERICK | Individual | – | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 11/2022 | < 5% |
| LAW, ROBERT WARD | Individual | – | PRESIDENT - CFG DIVISION | 01/2011 | < 5% |
| KIRK, LEAH JEANETTE | Individual | – | CHIEF OPERATIONS OFFICER | 07/2006 | < 5% |
| MCKENZIE, MICHELLE JESSUP | Individual | – | ROP | 12/2020 | < 5% |
| BROOKS, WILLIAM THOMAS | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |
| HILL, JAYNE BARRY | Individual | – | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 10/2023 | < 5% |
| KATZ, MARIE | Individual | – | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL | 11/2023 | < 5% |