Robert C. Thomas
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.
Robert Cheatham Thomas was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1972. Robert had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 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, 2013 - August 19, 2014
BB&T SECURITIES, LLC
January 2, 2013 - August 19, 2014
BB&T SECURITIES, LLC
December 27, 2000 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 6, 2000 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 3, 1997 - October 11, 2000
STERNE, AGEE & LEACH, INC.
May 10, 1995 - September 25, 1997
LEGG MASON WOOD WALKER, INCORPORATED
October 14, 1988 - May 17, 1995
WACHOVIA SECURITIES, INC.
August 15, 1972 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
PC
Date: 10/17/1977
AMEX Put and Call ExamSeries 1
Date: 8/2/1972
Registered Representative ExaminationSeries 8
Date: 7/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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
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