0001620168-18-000003.txt : 20180227
0001620168-18-000003.hdr.sgml : 20180227
20180227073950
ACCESSION NUMBER: 0001620168-18-000003
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20180223
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Southeastern Investment Securities LLC
CENTRAL INDEX KEY: 0001620168
IRS NUMBER: 201010318
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-03410
FILM NUMBER: 18642946
BUSINESS ADDRESS:
STREET 1: PO BOX 250
CITY: WINTER PARK
STATE: FL
ZIP: 32790
BUSINESS PHONE: 4076471000
MAIL ADDRESS:
STREET 1: PO BOX 250
CITY: WINTER PARK
STATE: FL
ZIP: 32790
MA-I/A
1
primary_doc.xml
MA-I/A
0001620168
XXXXXXXX
Richard T Wagner
407-647-1000
rtwagner1@myflfa.net
N
N
Richard
Tobitt
Wagner
N
1
0001620168
Southeastern Investment Securities LLC
03-07-2005
N
10-08-2014
0001620168
LOCATED
10-08-2014
03-2005
Southeastern Investment Securities LLC
Vero Beach
FL
32963
Y
N
President/Member
03-2003
02-2005
Southeastern Investment Securities INC
Winter Park
FL
32789
Y
N
President
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
02-23-2018
Richard Tobitt Wagner
President/Managing member
As a principal, failure to adequately supervise employees
6E(3)
NASD
Censure
10-27-1992
NASD District 7 Business Conduct Committee
C07910107
3490 Piedmont Rd NE
Atlanta
GA
30305
Southeastern Capital Group, Inc
No Product
Failed to supervise and act in a principal capacity
Censure
barred from association with an NASD firm in a principal or supervisory capacity
25000.00
25000.00
25000.00
25000.00
elected to drop association with NASD
Decision
10-27-1992