Michael L. Essex
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.
Michael Larry Essex, who also goes by Michael Essex, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 57TO, SIE, Series 57, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2020 - November 12, 2020
TRUIST SECURITIES, INC.
January 2, 2013 - August 3, 2020
BB&T SECURITIES, LLC
June 21, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 1, 2007 - May 14, 2009
WELLS FARGO SECURITIES, LLC
April 29, 2002 - October 1, 2007
A. G. EDWARDS & SONS, INC.
April 10, 1991 - April 30, 2002
KEYBANC CAPITAL MARKETS INC.
September 4, 1990 - March 27, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 19, 1985 - July 30, 1985
BNY CLEARING SERVICES LLC
November 21, 1984 - September 4, 1990
BLUNT ELLIS & LOEWI 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: 3/1/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/1/2024
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 3/1/2024
Securities Trader ExamCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| 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.
