Jonathan R. Riordan
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.
Jonathan Robert Riordan was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 27, Series 4, Series 53 and Series 24 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, 2018 - February 1, 2019
BB&T SECURITIES, LLC
January 2, 2018 - February 1, 2019
BB&T SECURITIES, LLC
March 20, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
December 13, 2005 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 5, 2004 - November 22, 2005
SYNERGY INVESTMENT GROUP, LLC
January 1, 1999 - August 20, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
June 11, 1998 - October 5, 1998
HARRISDIRECT LLC
April 18, 1996 - October 31, 1997
HOWARD WEIL 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
Series 55
Date: 5/24/2004
Limited Representative-Equity Trader ExamCurrent 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.
