David E. Leach
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.
David Edward Leach was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 7 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
September 24, 2010 - July 23, 2013
BB&T INVESTMENT SERVICES, INC.
August 9, 2010 - July 2, 2013
BB&T INVESTMENT SERVICES, INC.
October 14, 2009 - March 4, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 13, 2009 - March 4, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - September 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 8, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 14, 1988 - April 27, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 14, 1988 - April 27, 1989
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.
