William M. Grimm
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.
William Michael Grimm, who also goes by Mike Grimm, William M Grimm, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, 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
July 7, 2015 - December 1, 2016
BB&T INVESTMENT SERVICES, INC.
July 7, 2015 - December 1, 2016
BB&T INVESTMENT SERVICES, INC.
February 7, 2013 - February 25, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 7, 2013 - July 17, 2015
TD AMERITRADE, INC.
January 27, 2006 - July 17, 2015
TD AMERITRADE, INC.
January 11, 2006 - January 31, 2006
TD AMERITRADE CLEARING, INC.
February 8, 2001 - July 20, 2001
PROSPERA FINANCIAL SERVICES, INC.
July 23, 1998 - April 9, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1995 - July 10, 1998
MORGAN STANLEY DW INC.
February 21, 1989 - December 17, 1991
UBS FINANCIAL SERVICES INC.
March 22, 1984 - March 11, 1989
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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
