Mac R. Harley
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.
Mac Richard Harley was a registered financial professional .
Mac is a previously registered financial professional and started their career in finance in 1967. Mac had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - February 25, 2016
BB&T SECURITIES, LLC
January 2, 2013 - February 25, 2016
BB&T SECURITIES, LLC
April 18, 2005 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
April 15, 2005 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 15, 2002 - April 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - April 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 2, 1978 - June 15, 2002
WACHOVIA SECURITIES, INC.
August 18, 1977 - May 20, 1978
FROST, JOHNSON, READ & SMITH, INC.
December 27, 1967 - August 18, 1977
FROST, JOHNSON, READ & 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
PC
Date: 5/9/1978
AMEX Put and Call ExamSeries 1
Date: 12/20/1967
Registered Representative ExaminationCurrent Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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