Billy R. Simmons
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.
Billy Ray Simmons, who also goes by Billy Simmons, Billy R Simmons, Billy Ray Simmons II, Billy Ray Simmons, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 2003. Billy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
July 11, 2022 - November 2, 2023
TRUIST INVESTMENT SERVICES, INC.
March 24, 2020 - September 1, 2022
PARK AVENUE SECURITIES LLC
February 27, 2019 - February 26, 2020
W&S BROKERAGE SERVICES, INC.
August 17, 2017 - January 24, 2019
NYLIFE SECURITIES LLC
May 8, 2017 - June 19, 2017
BB&T INVESTMENT SERVICES, INC.
May 5, 2017 - June 19, 2017
BB&T INVESTMENT SERVICES, INC.
September 20, 2016 - May 8, 2017
LPL FINANCIAL LLC
September 20, 2016 - May 8, 2017
LPL FINANCIAL LLC
August 7, 2014 - March 5, 2016
CETERA INVESTMENT ADVISERS LLC
August 7, 2014 - March 5, 2016
CETERA INVESTMENT SERVICES LLC
March 15, 2005 - June 10, 2014
BB&T INVESTMENT SERVICES, INC.
March 15, 2005 - June 10, 2014
BB&T INVESTMENT SERVICES, INC.
January 10, 2005 - March 8, 2005
LPL FINANCIAL LLC
January 10, 2005 - March 8, 2005
LPL FINANCIAL LLC
June 28, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
March 12, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
June 4, 2003 - March 3, 2004
WELLS FARGO CLEARING 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
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.
