Eric Gross
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.
Eric Gross was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1990. Eric had worked at 8 firms and has passed the Series 63, SIE 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
July 13, 2016 - February 7, 2017
BB&T INVESTMENT SERVICES, INC.
January 2, 2013 - July 12, 2016
CETERA INVESTMENT SERVICES LLC
July 27, 2010 - December 10, 2012
MSI FINANCIAL SERVICES, INC.
October 31, 2003 - April 20, 2004
AMERITAS INVESTMENT COMPANY, LLC
April 16, 2002 - October 31, 2003
THE ADVISORS GROUP, INC.
May 18, 1999 - April 12, 2002
MONY SECURITIES CORPORATION
November 12, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 12, 1990 - May 25, 1999
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.
