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DS

Daniel E. Schott-bardol

Some features on this profile are disabled
CRD#: 3013160
DS

Professional summary

Daniel Edward Schott-bardol was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Daniel had worked at 4 firms, which includes BB&T INVESTMENT SERVICES INC., EQUITABLE ADVISORS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, A. G. EDWARDS & SONS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel E S Bardol

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2004 - May 3, 2005

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

September 20, 2004 - May 3, 2005

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

October 31, 2003 - October 15, 2004

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CHARLOTTE, NC
Past

October 30, 2003 - October 15, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

February 10, 2003 - June 16, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HENDERSONVILLE, NC
Past

January 9, 2003 - June 16, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 11, 2001 - December 20, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/7/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/31/1998
National Commodity Futures Examination

Current Firm

BI
BB&T INVESTMENT SERVICES, INC.
BB&T INVESTMENT SERVICES, INC. | BB&T INVESTMENTS

CRD#: 33856 / SEC#: 801-106629, 8-46134

BD
Terminated by SEC on 04/01/2018
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Contact information

Main Address
200 South College Street 11th Floor, Suite 1100, Charlotte, NC 28202
Mailing Address
Phone number
Established
North Carolina since 03/08/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

BBTIS ADV 2A AND APPENDIX 09152017 (9/20/2017)

Direct owners and executive officers

NamePositionCRD#
BRANCH BANKING AND TRUST COMPANYSHAREHOLDER
CECIL, ALEXANDER WILSONCHIEF COMPLIANCE OFFICER2319938
CRAM, BRYAN SCOTTPRESIDENT2723431
EARNHARDT, DARREN LEECHIEF OPERATING OFFICER2356117
EVANS, RICHARD TABB IIIDIRECTOR OF SALES/DIRECTOR1643552
SAUFLEY, RANDALL BARRETTCHIEF FINANCIAL OFFICER1664935

Disclosures

Regulatory Event2
Arbitration1

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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Company Information

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

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