Kenneth A. Mauchin
Professional summary
Kenneth Andrew Mauchin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Kenneth had worked at 11 firms, which includes TRUIST INVESTMENT SERVICES INC., FIFTH THIRD SECURITIES INC., COLONIAL BROKERAGE INC., CHARLES SCHWAB & CO. INC., AMSOUTH INVESTMENT SERVICES INC., QUICK & REILLY INC., WAMU INVESTMENTS INC., BANC OF AMERICA INVESTMENT SERVICES INC., BARNETT INVESTMENTS INC., AEGON USA SECURITIES INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2007 - July 8, 2011
TRUIST INVESTMENT SERVICES, INC.
June 26, 2007 - July 8, 2011
TRUIST INVESTMENT SERVICES, INC.
February 16, 2006 - June 29, 2007
FIFTH THIRD SECURITIES, INC.
October 5, 2004 - February 8, 2006
COLONIAL BROKERAGE, INC.
December 10, 2003 - July 15, 2004
CHARLES SCHWAB & CO., INC.
September 18, 2002 - February 11, 2003
AMSOUTH INVESTMENT SERVICES, INC.
January 26, 2001 - September 20, 2002
QUICK & REILLY, INC.
December 8, 1998 - January 24, 2001
WAMU INVESTMENTS, INC.
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 1994 - April 1, 1998
BARNETT INVESTMENTS, INC.
October 14, 1993 - February 22, 1994
AEGON USA SECURITIES INC.
June 23, 1993 - September 22, 1993
TUSCANY EQUITY MANAGEMENT CORPORATI0N
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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