Cindy L. Thomas
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.
Cindy Lee Thomas, who also goes by Cindy Lee Beneke, was a registered financial professional .
Cindy is a previously registered financial professional and started their career in finance in 1988. Cindy had worked at 7 firms and has passed the Series 63, 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
August 19, 2008 - July 27, 2017
BB&T INVESTMENT SERVICES, INC.
May 31, 2008 - June 30, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
January 18, 2005 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
October 1, 1997 - July 29, 2003
THE HUNTINGTON INVESTMENT COMPANY
March 29, 1995 - October 1, 1997
FMB INVESTMENT SERVICES
January 3, 1991 - December 15, 1994
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
September 20, 1988 - January 9, 1989
PRIMUS FINANCIAL SERVICES, 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 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.
