Judy K. Graham
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.
Judy Kay Graham, who also goes by Judy Calvit, Judy K Graham, Judy Kay Mosely, Judy Rowe, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1999. Judy had worked at 5 firms and has passed the Series 66, SIE 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
May 4, 2018 - November 19, 2019
BB&T SECURITIES, LLC
May 4, 2018 - November 19, 2019
BB&T SECURITIES, LLC
April 12, 2016 - May 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2016 - May 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2008 - July 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2007 - July 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 2000 - March 14, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - October 11, 2007
WELLS FARGO INVESTMENTS, LLC
December 21, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
September 13, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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.
