Howard S. Walzer
Professional summary
Howard Steven Walzer was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard Steven Walzer was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1992. Howard had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 28, 2015 - September 25, 2019
BB&T SECURITIES, LLC
December 18, 2015 - September 25, 2019
BB&T SECURITIES, LLC
October 3, 2011 - December 24, 2015
UBS FINANCIAL SERVICES INC.
September 23, 2011 - December 24, 2015
UBS FINANCIAL SERVICES INC.
June 25, 2008 - September 26, 2011
JANNEY MONTGOMERY SCOTT LLC
June 20, 2008 - September 26, 2011
JANNEY MONTGOMERY SCOTT LLC
July 1, 2003 - August 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 30, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1999 - August 9, 2001
UBS FINANCIAL SERVICES INC.
January 14, 1992 - June 16, 1999
J. B. HANAUER & CO.
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 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
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