# EDGAR Filing Document

**Accession Number:** 0001520194
**File Stem:** 0001520194-25-000012
**Filing Date:** 2025-11
**Character Count:** 13828
**Document Hash:** 4b4c5270cae0147160820119daa21e67
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001520194-25-000012.hdr.sgml**: 20251208

**ACCESSION NUMBER**: 0001520194-25-000012

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251103

**DATE AS OF CHANGE**: 20251208

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Synovus Securities, Inc.
- **CENTRAL INDEX KEY:** 0001520194

**ORGANIZATION NAME:**
- **EIN:** 581625031
- **STATE OF INCORPORATION:** GA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00518
- **FILM NUMBER:** 251554775

**BUSINESS ADDRESS:**
- **STREET 1:** 33 W 14TH STREET
- **CITY:** COLUMBUS
- **STATE:** GA
- **ZIP:** 31901
- **BUSINESS PHONE:** 706-649-4900

**MAIL ADDRESS:**
- **STREET 1:** 33 W 14TH STREET
- **CITY:** COLUMBUS
- **STATE:** GA
- **ZIP:** 31901

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001520194

**Filer CCC:** XXXXXXXX

**Contact Name:** Gene F. Gunderson

**Contact Phone:** 706-644-0298

**Contact Email:** genegunderson@synovus.com

**Notification Emails:** genegunderson@synovus.com, williambrooks@synovus.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Synovus Securities, Inc.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 14023

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 58-1625031

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00368-00

- **Municipal Advisor:** SEC File No: 867-00518

- **Broker-Dealer:** SEC File No: 008-34709, CRD No: 14023

- **SEC-Registered Investment Adviser:** SEC File No: 801-19690, CRD No: 14023

**E. Principal Office and Place of Business:** 33 West 14th Street, 3rd Floor, COLUMBUS, GA, 31901

**Telephone Number:** 706-649-4900

**Additional Offices of Employment:**

- **Office #1 (Add):** 1695 Whittlesley Road, Columbus, GA, 31904 | Phone: 706-644-8639

- **Office #2 (Add):** 8025 Westside Parkway, Suite 120, Alpharetta, GA, 30009 | Phone: 404-364-2777

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://www.synovus.com/about-us/our-companies

**G. Chief Compliance Officer (CCO):**

**Name:** Gene Frederick Gunderson

**Address:** 33 West 14th Street, 3rd Floor, Columbus, GA, 31901

**Phone Number:** 706-644-0298

**Email:** genegunderson@synovus.com

**H. Business Affiliates:**

- **Name:** Synovus Trust Company, N.A.

- **Name:** Synovus Bank

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** GA

**D. Date of Organization:** 06-27-1985

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 266

**B. Municipal Advisory Activities - Employees:** 3

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 3

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 3

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Contingent Fees
, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Other

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Banking/Thrift institution, Trust Company, Trust Company, Banking/Thrift institution

**Total Associated Persons:** 2

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** Yes

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** Yes

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                     | Title/Status                                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Synovus Financial Corp   | Applicant's parent                                 | 08-01-2001      | E - 75% or more   | Yes               | 58-1134883   |  |
| Gene Frederick Gunderson | Chief Compliance Officer                           | 03-01-2010      | NA - less than 5% | Yes               |  | 2914172      |
| Robert Ward Law          | President--CFG Division                            | 01-01-2011      | NA - less than 5% | Yes               |  | 1399885      |
| Guy Leonard Sexton       | EVP/Director                                       | 08-01-1985      | NA - less than 5% | Yes               |  | 1204541      |
| Robert Parker Varner     | Executive Vice President, Synovus Securities, Inc  | 04-01-1997      | NA - less than 5% | Yes               |  | 2192715      |
| Leah Jeanette Kirk       | Chief Operations Officer                           | 07-01-2006      | NA - less than 5% | Yes               |  | 2217286      |
| Jayne Barry Hill         | Director of the Board for Synovus Securities, Inc. | 10-01-2023      | NA - less than 5% | Yes               |  | 000000000    |
| Marie O Katz             | Chief Financial Officer-FinOp                      | 12-01-2023      | NA - less than 5% | Yes               |  | 2457660      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                     | Title/Status                                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Synovus Financial Corp   | Applicant's parent                                 | 08-01-2001      | E - 75% or more   | Yes               | 58-1134883   |  |
|  | Direct      |  | Gene Frederick Gunderson | Chief Compliance Officer                           | 03-01-2010      | NA - less than 5% | Yes               |  | 2914172      |
|  | Direct      |  | Robert Ward Law          | President--CFG Division                            | 01-01-2011      | NA - less than 5% | Yes               |  | 1399885      |
|  | Direct      |  | Guy Leonard Sexton       | EVP/Director                                       | 08-01-1985      | NA - less than 5% | Yes               |  | 1204541      |
|  | Direct      |  | Robert Parker Varner     | Executive Vice President, Synovus Securities, Inc  | 04-01-1997      | NA - less than 5% | Yes               |  | 2192715      |
|  | Direct      |  | Leah Jeanette Kirk       | Chief Operations Officer                           | 07-01-2006      | NA - less than 5% | Yes               |  | 2217286      |
|  | Direct      |  | Jayne Barry Hill         | Director of the Board for Synovus Securities, Inc. | 10-01-2023      | NA - less than 5% | Yes               |  | 000000000    |
|  | Direct      |  | Marie O Katz             | Chief Financial Officer-FinOp                      | 12-01-2023      | NA - less than 5% | Yes               |  | 2457660      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 119821

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc

- **CRD Number:** 14023

- **Disclosure Number:** 1310806

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 1180717

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 325238

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 262881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 629192

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 569180

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 569158

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 284290

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Synovus Securities, Inc.

- **CRD Number:** 14023

- **Disclosure Number:** 11 E(2)

### Execution Page

**Signature:** Gene F. Gunderson

**Signer Name:** Gene F. Gunderson

**Title:** CCO

**Date:** 11-03-2025

**CRD Number:** 14023