Davis A. Estes
Professional summary
Davis Allen Estes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Davis is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Davis had worked at 9 firms, which includes TRUIST INVESTMENT SERVICES INC., BANC OF AMERICA INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., CRESTAR SECURITIES CORPORATION, CAPITAL BROKERAGE CORPORATION, FORTH FINANCIAL SECURITIES CORPORATION, FIRST UNION CAPITAL MARKETS CORP., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2006 - October 17, 2007
TRUIST INVESTMENT SERVICES, INC.
September 5, 2006 - October 17, 2007
TRUIST INVESTMENT SERVICES, INC.
February 18, 2005 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 18, 2005 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 13, 2000 - February 22, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - February 22, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 20, 1998 - May 25, 2000
CRESTAR SECURITIES CORPORATION
December 1, 1997 - January 12, 1998
CAPITAL BROKERAGE CORPORATION
October 31, 1997 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
December 14, 1994 - March 13, 1996
FIRST UNION CAPITAL MARKETS CORP.
March 18, 1993 - November 22, 1994
KIDDER, PEABODY & CO. 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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