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