Charles E. Mooser
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.
Charles Edward Mooser JR, who also goes by Charles Edward (jr) Mooser, Chuck Mooser Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 7 firms and has passed the Series 63, Series 7 and Series 5 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 - March 11, 2014
BB&T SECURITIES, LLC
September 18, 2001 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
May 16, 2001 - June 7, 2001
FERRIS, BAKER WATTS, LLC
October 1, 1999 - May 1, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 20, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 11, 1985 - July 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1982 - August 31, 1984
BECKER PARIBAS INCORPORATED
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
Series 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent 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.
