James R. Day
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 Russell Day, who also goes by Rusty Day, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1988. James had worked at 11 firms and has passed the Series 65, Series 63, 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
February 24, 2006 - June 29, 2006
BB&T INVESTMENT SERVICES, INC.
February 24, 2006 - June 29, 2006
BB&T INVESTMENT SERVICES, INC.
October 24, 2005 - January 31, 2006
BB&T INVESTMENT SERVICES, INC.
October 21, 2005 - January 31, 2006
BB&T INVESTMENT SERVICES, INC.
December 9, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
October 28, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
March 13, 2003 - September 16, 2003
ESSEX NATIONAL SECURITIES, LLC
February 14, 2003 - September 16, 2003
ESSEX NATIONAL SECURITIES, LLC
May 22, 2002 - January 28, 2003
WAMU INVESTMENTS, INC.
February 22, 2002 - May 29, 2002
BROOKSTREET SECURITIES CORPORATION
April 16, 2001 - January 8, 2002
INVEST FINANCIAL CORPORATION
May 4, 2000 - April 4, 2001
BB&T INVESTMENT SERVICES, INC.
February 19, 1998 - April 26, 2000
INVEST FINANCIAL CORPORATION
June 27, 1995 - February 11, 1998
MONEY CONCEPTS CAPITAL CORP
July 31, 1993 - February 8, 1995
CITIGROUP GLOBAL MARKETS INC.
March 18, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
August 3, 1988 - April 6, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 3, 1988 - April 6, 1993
PRUCO SECURITIES, LLC.
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.
