TC
Thomas E. Callaham
TRUIST INVESTMENT SERVICES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 4250911
TC
Professional summary
Thomas Emory Callaham is a registered financial professional currently at TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Emory Callaham's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 23, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 214 N Tryon St Fl 29 32 & 33, Charlotte, NC, 28202BD
CRD#: 17499
CHARLOTTE, NC
Past
November 18, 2010 - February 24, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DAVIDSON, NC
Past
October 23, 2009 - August 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
January 3, 2006 - July 10, 2008
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHARLOTTE, NC
Past
September 25, 2000 - December 31, 2005
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/23/2022)
RR
Alaska(2/23/2022)
RR
Arizona(2/23/2022)
RR
Arkansas(2/23/2022)
RR
California(2/23/2022)
RR
Colorado(2/23/2022)
RR
Connecticut(2/23/2022)
RR
Delaware(2/23/2022)
RR
District of Columbia(2/23/2022)
RR
Florida(2/23/2022)
RR
Georgia(2/23/2022)
RR
Hawaii(2/23/2022)
RR
Idaho(2/23/2022)
RR
Illinois(2/23/2022)
RR
Indiana(2/23/2022)
RR
Iowa(2/23/2022)
RR
Kansas(2/23/2022)
RR
Kentucky(2/23/2022)
RR
Louisiana(2/23/2022)
RR
Maine(2/23/2022)
RR
Maryland(2/23/2022)
RR
Massachusetts(2/23/2022)
RR
Michigan(2/23/2022)
RR
Minnesota(2/23/2022)
RR
Mississippi(2/23/2022)
RR
Missouri(2/23/2022)
RR
Montana(2/23/2022)
RR
Nebraska(2/23/2022)
RR
Nevada(2/23/2022)
RR
New Hampshire(2/23/2022)
RR
New Jersey(2/23/2022)
RR
New Mexico(2/23/2022)
RR
New York(2/23/2022)
RR
North Carolina(2/23/2022)
RR
North Dakota(2/23/2022)
RR
Ohio(2/23/2022)
RR
Oklahoma(2/23/2022)
RR
Oregon(2/23/2022)
RR
Pennsylvania(2/23/2022)
RR
Puerto Rico(2/23/2022)
RR
Rhode Island(2/23/2022)
RR
South Carolina(2/23/2022)
RR
South Dakota(2/23/2022)
RR
Tennessee(2/23/2022)
RR
Texas(2/23/2022)
RR
Utah(2/23/2022)
RR
Vermont(2/23/2022)
RR
Virgin Islands(2/23/2022)
RR
Virginia(2/23/2022)
RR
Washington(2/23/2022)
RR
West Virginia(2/23/2022)
RR
Wisconsin(2/23/2022)
RR
Wyoming(2/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRUIST INVESTMENT SERVICES, INC.
ALEXANDER KEY | TRUIST INVESTMENT SERVICES, INC. | SUNTRUST SECURITIES, INC. | SUNTRUST SECURITIES INC | SUNTRUST INVESTMENT SERVICES, INC. | SUNTRUST BROKERAGE SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
303 Peachtree Street Suntrust Garden Offices Suite 140, Atlanta, GA 30303
Mailing Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Phone number
(800) 874-4770
Established
Georgia since 11/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
