Debora P. Keen
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.
Debora Palmer Keen, CFP®, who also goes by Joy Palmer, was a registered financial professional .
Debora is a previously registered financial professional and started their career in finance in 1983. Debora had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
January 2, 2018 - March 31, 2020
BB&T SECURITIES, LLC
January 2, 2018 - March 31, 2020
BB&T SECURITIES, LLC
September 4, 2008 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
August 18, 2008 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
May 16, 2008 - August 29, 2008
LPL FINANCIAL LLC
May 15, 2008 - August 29, 2008
LPL FINANCIAL LLC
August 1, 2003 - November 2, 2007
TRUIST INVESTMENT SERVICES, INC.
July 25, 2003 - November 2, 2007
TRUIST INVESTMENT SERVICES, INC.
July 3, 2002 - October 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - October 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
January 27, 1993 - September 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1983 - February 12, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 12/22/2022
General Securities Representative 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.
