Carl F. Greene
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.
Carl Frederick Greene was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1993. Carl had worked at 9 firms and has passed the Series 66, Series 65, Series 63, 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
Experience
August 25, 2010 - June 4, 2013
TRUIST INVESTMENT SERVICES, INC.
July 7, 2010 - June 4, 2013
TRUIST INVESTMENT SERVICES, INC.
January 9, 2006 - November 6, 2009
BB&T INVESTMENT SERVICES, INC.
January 9, 2006 - November 6, 2009
BB&T INVESTMENT SERVICES, INC.
January 20, 2005 - January 11, 2006
BB&T ASSET MANAGEMENT, INC.
March 26, 2002 - December 31, 2004
BB&T INVESTMENT SERVICES, INC.
January 4, 2001 - December 31, 2004
BB&T INVESTMENT SERVICES, INC.
February 14, 2000 - January 8, 2001
WACHOVIA SECURITIES, INC.
November 29, 1999 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
December 14, 1995 - November 1, 1999
SUNAMERICA SECURITIES, INC.
July 19, 1995 - December 7, 1995
INVESTORS SECURITY COMPANY, INC.
April 22, 1993 - June 7, 1995
IDS LIFE INSURANCE COMPANY
April 22, 1993 - June 7, 1995
AMERIPRISE FINANCIAL SERVICES, 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
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
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.
