Laura S. Francis
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.
Laura Sims Francis, who also goes by Laura Forrester Sims, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1983. Laura had worked at 9 firms and has passed the Series 63, Series 66, 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
Experience
September 1, 2011 - January 17, 2017
BB&T INVESTMENT SERVICES, INC.
August 30, 2011 - January 17, 2017
BB&T INVESTMENT SERVICES, INC.
June 25, 2010 - August 17, 2011
SYNOVUS SECURITIES, INC.
June 4, 2010 - August 17, 2011
SYNOVUS SECURITIES, INC.
April 8, 2008 - January 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 6, 2004 - March 29, 2005
FIDELITY BROKERAGE SERVICES LLC
July 8, 2003 - October 21, 2003
MORGAN STANLEY DW INC.
July 11, 1990 - December 19, 1994
TRUIST INVESTMENT SERVICES, INC.
November 3, 1987 - June 22, 1990
FIDELITY BROKERAGE SERVICES LLC
April 18, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 18, 1984 - September 30, 1987
LEHMAN BROTHERS INC.
November 22, 1983 - April 11, 1984
J.P. MORGAN SECURITIES 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 INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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