Richard L. Ewalt
Professional summary
Richard Lee Ewalt was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard Lee Ewalt was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1984. Richard had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2011 - August 20, 2013
BB&T INVESTMENT SERVICES, INC.
June 7, 2011 - June 28, 2013
BB&T INVESTMENT SERVICES, INC.
June 16, 2009 - June 9, 2011
SECURITIES AMERICA, INC.
May 22, 2009 - June 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 2009 - June 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2003 - June 12, 2009
TRUIST INVESTMENT SERVICES, INC.
May 26, 2000 - June 12, 2009
TRUIST INVESTMENT SERVICES, INC.
April 29, 1993 - May 26, 2000
CRESTAR SECURITIES CORPORATION
June 3, 1992 - April 17, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
November 9, 1984 - September 19, 1989
SIGNATOR INVESTORS, INC.
November 9, 1984 - July 7, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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
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