Andre R. Roman
Professional summary
Andre Ryan Roman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andre is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Andre had worked at 2 firms, which includes BB&T INVESTMENT SERVICES INC., EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2004 - December 4, 2006
BB&T INVESTMENT SERVICES, INC.
September 15, 2004 - December 4, 2006
BB&T INVESTMENT SERVICES, INC.
October 17, 2003 - August 25, 2004
EQUITABLE ADVISORS, LLC
October 10, 2003 - August 25, 2004
EQUITABLE ADVISORS, 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 INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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