Nicoli G. Grove
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.
Nicoli Gay Grove, who also goes by Nicoli G Grove, Nicoli Russell, Nicoli Samper, Russell Samper, Nicoli Gay Smith, was a registered financial professional .
Nicoli is a previously registered financial professional and started their career in finance in 1987. Nicoli had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 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 30, 2018
BB&T SECURITIES, LLC
January 2, 2018 - April 30, 2018
BB&T SECURITIES, LLC
May 19, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
March 16, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 23, 2009 - February 12, 2010
SECURITIES AMERICA, INC.
January 16, 2009 - January 25, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 16, 2009 - January 25, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
February 25, 2005 - February 13, 2009
FIFTH THIRD SECURITIES, INC.
May 13, 2004 - February 13, 2009
FIFTH THIRD SECURITIES, INC.
September 11, 2002 - September 11, 2002
RAYMOND JAMES & ASSOCIATES, INC.
September 11, 2002 - April 26, 2004
NATCITY INVESTMENTS, INC.
September 5, 2002 - April 26, 2004
NATCITY INVESTMENTS, INC.
September 6, 2000 - September 11, 2002
RAYMOND JAMES & ASSOCIATES, INC.
July 13, 1999 - September 1, 2000
SANCTUARY SECURITIES, INC.
March 25, 1999 - July 1, 1999
PFIC SECURITIES CORPORATION
February 1, 1999 - March 30, 1999
BANC ONE SECURITIES CORPORATION
April 18, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
October 18, 1996 - April 18, 1997
VOYA FINANCIAL ADVISORS, INC.
June 1, 1996 - July 8, 1996
NATCITY INVESTMENTS, INC.
March 22, 1996 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
January 19, 1996 - July 22, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
April 15, 1993 - March 6, 1995
ESSEX NATIONAL SECURITIES, LLC
July 1, 1991 - April 20, 1993
MML INVESTORS SERVICES, LLC
August 20, 1987 - December 19, 1988
SIGNATURE SECURITIES CORPORATION
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.
