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CM

Charles W. Maxwell

Some features on this profile are disabled
CRD#: 4540116
CM

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.

Charles Wayne Maxwell JR was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 4 firms and has passed the Series 65, 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.

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, 2005 - April 28, 2017

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
DURHAM, NC
Past

September 20, 2005 - April 28, 2017

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
DURHAM, NC
Past

September 22, 2004 - September 23, 2005

LPL FINANCIAL LLC

RIA
CRD#: 6413
CARY, NC
Past

September 15, 2004 - September 23, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 28, 2003 - April 22, 2004

COASTAL DISCOUNT STOCKBROKERS, INC.

BD
CRD#: 18237
WILMINGTON, NC
Past

July 23, 2002 - February 20, 2003

EDWARD JONES

BD
CRD#: 250
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: 9/20/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2002
General Securities Representative 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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

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