Thomas A. Lamantia
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.
Thomas Anthony Lamantia was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 8 firms and has passed the Series 66, Series 63, Series 7 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
August 16, 2006 - July 2, 2013
BB&T INVESTMENT SERVICES, INC.
August 16, 2006 - July 2, 2013
BB&T INVESTMENT SERVICES, INC.
July 23, 2004 - December 14, 2004
CITICORP INVESTMENT SERVICES
July 16, 2004 - December 14, 2004
CITICORP INVESTMENT SERVICES
January 10, 2003 - May 13, 2004
ESSEX NATIONAL SECURITIES, LLC
January 17, 2002 - January 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2002 - January 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 10, 2001 - January 23, 2002
WACHOVIA SECURITIES, INC.
December 13, 2000 - May 2, 2001
TRUIST INVESTMENT SERVICES, INC.
April 25, 1997 - October 13, 2000
MBSC, LLC
December 2, 1996 - October 13, 2000
DREYFUS INVESTMENT SERVICES COMPANY, LLC
August 19, 1993 - July 10, 1996
DREYFUS INVESTMENT SERVICES COMPANY, 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.
