Richard P. Sprague
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Palmer Sprague was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - October 16, 2018
BB&T SECURITIES, LLC
January 2, 2013 - October 16, 2018
BB&T SECURITIES, LLC
May 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
April 1, 1992 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
July 29, 1988 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
July 22, 1988 - August 15, 1988
INDEPENDENCE SECURITIES, INC.
August 16, 1983 - July 29, 1988
FIRST UNION CAPITAL MARKETS CORP.
June 10, 1982 - August 1, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
