Leigh P. Malloy
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.
Leigh Patrick Malloy, who also goes by Leigh Malloy, was a registered financial professional .
Leigh is a previously registered financial professional and started their career in finance in 1995. Leigh had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 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 - January 11, 2018
BB&T SECURITIES, LLC
January 2, 2013 - January 11, 2018
BB&T SECURITIES, LLC
September 8, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
July 19, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
July 28, 2004 - October 25, 2010
BB&T ASSET MANAGEMENT, INC.
May 13, 2002 - July 28, 2004
BB&T INVESTMENT SERVICES, INC.
August 14, 1998 - July 22, 2004
BB&T INVESTMENT SERVICES, INC.
March 20, 1996 - August 19, 1998
LPL FINANCIAL LLC
July 12, 1995 - March 20, 1996
NATHAN & LEWIS SECURITIES, INC.
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 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
