David B. Holt
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.
David Barrington Holt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 6 firms and has passed the Series 66, SIE, Series 7, 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 - January 2, 2019
BB&T SECURITIES, LLC
January 2, 2018 - January 2, 2019
BB&T SECURITIES, LLC
December 7, 2009 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
November 17, 2009 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
May 2, 2009 - October 26, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 26, 2009
CHASE INVESTMENT SERVICES CORP.
March 20, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
January 22, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
December 11, 2000 - June 27, 2001
IDS LIFE INSURANCE COMPANY
December 11, 2000 - June 27, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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.
