Hugh E. Cating
Professional summary
Hugh Earl Cating was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hugh is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Hugh had worked at 8 firms, which includes TRUIST INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, QUICK & REILLY INC., SECURITIES AMERICA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2005 - May 9, 2008
TRUIST INVESTMENT SERVICES, INC.
July 27, 2005 - May 9, 2008
TRUIST INVESTMENT SERVICES, INC.
October 19, 2004 - July 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2004 - July 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 27, 2004 - October 18, 2004
QUICK & REILLY, INC.
January 23, 2004 - October 18, 2004
QUICK & REILLY, INC.
May 2, 2000 - January 13, 2004
SECURITIES AMERICA, INC.
July 21, 1997 - April 10, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 21, 1997 - April 10, 2000
OSAIC FA, INC.
May 19, 1995 - September 17, 1996
CITIGROUP GLOBAL MARKETS INC.
June 12, 1992 - May 2, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
Red Flags
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