Kevin J. Simpson
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.
Kevin Joseph Simpson, who also goes by Joseph K. Simpson, Joseph Kevin Simpson, Kevin J. Simpson, was a registered financial advisor .
Kevin is a previously registered financial advisor and started their career in finance in 1998. Kevin had worked at 6 firms and has passed the Series 63 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
July 18, 2013 - January 9, 2014
BB&T INVESTMENT SERVICES, INC.
July 17, 2013 - January 9, 2014
BB&T INVESTMENT SERVICES, INC.
February 21, 2012 - July 16, 2013
CETERA INVESTMENT SERVICES LLC
January 30, 2012 - July 16, 2013
CETERA INVESTMENT SERVICES LLC
December 6, 2010 - January 30, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 30, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
December 12, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 17, 2006 - December 16, 2008
RAYMOND JAMES & ASSOCIATES, INC.
January 14, 2005 - December 16, 2008
RAYMOND JAMES & ASSOCIATES, INC.
January 6, 1998 - January 18, 2005
MORGAN STANLEY DW INC.
January 1, 1998 - January 18, 2005
MORGAN STANLEY DW 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 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.
