Thomas W. Barrett
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 Warden Barrett, who also goes by Tom Barrett, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
January 2, 2013 - April 29, 2016
BB&T SECURITIES, LLC
January 2, 2013 - April 29, 2016
BB&T SECURITIES, LLC
December 12, 2008 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
December 12, 2008 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
February 7, 2003 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2003 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2002 - February 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2002 - February 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - August 13, 2002
INDEPENDENT ADVISERS GROUP CORP
October 1, 1997 - August 16, 2002
OSAIC FS, INC.
April 24, 1990 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
January 27, 1987 - May 3, 1990
MONY SECURITIES CORPORATION
October 22, 1985 - January 12, 1987
RAYMOND JAMES 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 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.
