Thomas D. Smith
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.
Thomas Donald Smith JR, who also goes by Tom Smith, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 10 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
January 2, 2018 - February 18, 2020
BB&T SECURITIES, LLC
January 2, 2018 - February 18, 2020
BB&T SECURITIES, LLC
June 29, 2007 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 29, 2007 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
July 27, 2006 - July 11, 2007
TRUIST INVESTMENT SERVICES, INC.
January 9, 2006 - July 11, 2007
TRUIST INVESTMENT SERVICES, INC.
August 3, 1998 - April 18, 2000
IFMG SECURITIES, INC.
January 9, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
November 4, 1997 - December 31, 2004
SOUTHTRUST SECURITIES, LLC
December 1, 1994 - October 31, 1997
HOWARD WEIL INCORPORATED
June 1, 1994 - December 5, 1994
JBS LIBERTY SECURITIES, INC.
December 2, 1991 - June 1, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
October 22, 1990 - November 6, 1991
UVEST BROKERAGE SERVICES
January 17, 1990 - August 24, 1990
INVEST FINANCIAL CORPORATION
September 26, 1989 - January 18, 1990
MORGAN STANLEY DW INC.
September 16, 1988 - September 28, 1989
A. G. EDWARDS & SONS, INC.
March 23, 1984 - January 18, 1990
MORGAN STANLEY DW INC.
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 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.
