Joseph B. Feldman
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.
Joseph Bert Feldman, who also goes by Joe Feldman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2016 - July 17, 2020
BB&T SECURITIES, LLC
March 9, 2016 - July 17, 2020
BB&T SECURITIES, LLC
January 13, 2012 - March 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2012 - March 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1991 - January 25, 2012
UBS FINANCIAL SERVICES INC.
March 17, 1989 - January 25, 2012
UBS FINANCIAL SERVICES INC.
April 11, 1988 - April 13, 1989
LEHMAN BROTHERS INC.
March 8, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - February 23, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 1
Date: 1/5/1972
Registered 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
