Kim W. Pace
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.
Kim Wayne Pace was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1986. Kim had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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 - April 8, 2019
BB&T SECURITIES, LLC
January 2, 2018 - April 8, 2019
BB&T SECURITIES, LLC
July 13, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
July 13, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 21, 2014 - July 12, 2016
CETERA INVESTMENT ADVISERS LLC
January 16, 2009 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 15, 2009 - July 12, 2016
CETERA INVESTMENT SERVICES LLC
August 16, 2006 - November 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 2006 - November 4, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 2001 - August 15, 2006
COMMUNITY INVESTMENT SERVICES, INC.
October 1, 2000 - June 29, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 8, 1997 - February 10, 2000
MORGAN STANLEY DW INC.
September 7, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 7, 1988 - May 6, 1997
PRUCO SECURITIES, LLC.
September 12, 1986 - August 29, 1988
EQUITABLE ADVISORS, LLC
May 6, 1986 - August 29, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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.
