CW
Clay W. Walter
TRUIST INVESTMENT SERVICES
RICHMOND, VA
Some features on this profile are disabled
CRD#: 1057071
CW
Professional summary
Clay William Walter is a registered financial professional currently at TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.
Clay is registered as a RR (Registered Representative) and started their career in finance in 1982. Clay has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Clay William Walter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #2: 1001 Semmes Ave Fl 3, Richmond, VA 23224BD
CRD#: 17499
RICHMOND, VA
Past
February 23, 2021 - June 29, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
May 21, 1993 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RICHMOND, VA
Past
December 1, 1989 - May 26, 1993
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
October 15, 1984 - September 20, 1985
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
August 4, 1983 - December 2, 1989
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
August 26, 1982 - August 1, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/22/2021)
RR
Alaska(2/22/2021)
RR
Arizona(2/22/2021)
RR
Arkansas(2/22/2021)
RR
California(2/22/2021)
RR
Colorado(2/22/2021)
RR
Connecticut(2/22/2021)
RR
Delaware(2/22/2021)
RR
District of Columbia(2/22/2021)
RR
Florida(2/22/2021)
RR
Georgia(2/17/2021)
RR
Hawaii(2/22/2021)
RR
Idaho(2/22/2021)
RR
Illinois(2/22/2021)
RR
Indiana(2/22/2021)
RR
Iowa(2/22/2021)
RR
Kansas(2/22/2021)
RR
Kentucky(2/22/2021)
RR
Louisiana(2/22/2021)
RR
Maine(2/22/2021)
RR
Maryland(2/22/2021)
RR
Massachusetts(2/22/2021)
RR
Michigan(2/22/2021)
RR
Minnesota(2/22/2021)
RR
Mississippi(2/22/2021)
RR
Missouri(2/22/2021)
RR
Montana(2/22/2021)
RR
Nebraska(2/22/2021)
RR
Nevada(2/22/2021)
RR
New Hampshire(2/22/2021)
RR
New Jersey(2/17/2021)
RR
New Mexico(2/22/2021)
RR
New York(2/22/2021)
RR
North Carolina(2/22/2021)
RR
North Dakota(2/22/2021)
RR
Ohio(2/22/2021)
RR
Oklahoma(2/22/2021)
RR
Oregon(2/22/2021)
RR
Pennsylvania(2/22/2021)
RR
Puerto Rico(2/22/2021)
RR
Rhode Island(2/22/2021)
RR
South Carolina(2/22/2021)
RR
South Dakota(2/22/2021)
RR
Tennessee(2/22/2021)
RR
Texas(2/22/2021)
RR
Utah(2/22/2021)
RR
Vermont(2/17/2021)
RR
Virgin Islands(2/22/2021)
RR
Virginia(2/17/2021)
RR
Washington(2/22/2021)
RR
West Virginia(2/22/2021)
RR
Wisconsin(2/22/2021)
RR
Wyoming(2/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRUIST INVESTMENT SERVICES, INC.
ALEXANDER KEY | TRUIST INVESTMENT SERVICES, INC. | SUNTRUST SECURITIES, INC. | SUNTRUST SECURITIES INC | SUNTRUST INVESTMENT SERVICES, INC. | SUNTRUST BROKERAGE SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
303 Peachtree Street Suntrust Garden Offices Suite 140, Atlanta, GA 30303
Mailing Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Phone number
(800) 874-4770
Established
Georgia since 11/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
