Sydney M. Kaiser
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.
Sydney Morris Kaiser, who also goes by Sydney Hope Morris, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1995. Sydney had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2005 - June 6, 2013
BB&T INVESTMENT SERVICES, INC.
October 17, 2003 - June 6, 2013
BB&T INVESTMENT SERVICES, INC.
September 18, 2001 - October 16, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
September 21, 2000 - October 5, 2001
NATHAN & LEWIS SECURITIES, INC.
April 4, 1996 - August 23, 2000
ALLFIRST BROKERAGE CORPORATION
March 30, 1995 - October 2, 1995
ALLFIRST BROKERAGE CORPORATION
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.
