Catherine B. Hovis
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.
Catherine Blake Hovis, CFP®, who also goes by Catherine Blake, Kate Hovis, Catherine B Jones, Catherine Blake Jones, Catherine B Timmel, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1991. Catherine had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
January 27, 2009 - July 31, 2017
BB&T INVESTMENT SERVICES, INC.
January 26, 2009 - July 31, 2017
BB&T INVESTMENT SERVICES, INC.
November 24, 2004 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
February 15, 2001 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
August 4, 1998 - January 31, 2001
CETERA WEALTH SERVICES, LLC
July 6, 1994 - September 16, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1993 - July 6, 1994
NATIONSSECURITIES
March 31, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 8, 1991 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, 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
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.
