James W. Maughan
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.
James William Maughan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 62 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 - July 8, 2014
BB&T SECURITIES, LLC
November 15, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
August 12, 2002 - October 29, 2010
AMHERST SECURITIES GROUP, L.P.
March 5, 2002 - August 23, 2002
ADVEST, INC.
October 2, 2000 - February 19, 2002
AMHERST SECURITIES GROUP, L.P.
May 12, 1998 - September 21, 2000
ABN AMRO INCORPORATED
June 19, 1997 - May 21, 1998
LASALLE FINANCIAL SERVICES, INC.
June 25, 1996 - March 18, 1997
R. SEELAUS & CO., LLC
May 3, 1996 - May 15, 1996
SUNCOAST CAPITAL GROUP, LTD.
September 14, 1994 - February 9, 1996
J.C. BRADFORD & CO.
February 24, 1994 - October 5, 1994
CHAPDELAINE CORPORATE SECURITIES & CO
March 2, 1992 - August 20, 1993
CHAPDELAINE CORPORATE SECURITIES & CO
January 1, 1988 - January 26, 1988
TULLETT & TOKYO SECURITIES, 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
Series 55
Date: 5/17/2004
Limited Representative-Equity Trader ExamSeries 62
Date: 5/24/1994
Corporate Securities Limited Representative ExaminationCurrent 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.
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