Shannon C. Taylor
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.
Shannon Christopher Taylor, who also goes by Shannon Taylor, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2006. Shannon had worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 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 - February 22, 2018
BB&T SECURITIES, LLC
January 2, 2018 - February 22, 2018
BB&T SECURITIES, LLC
June 6, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 5, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
September 15, 2010 - May 25, 2017
STRATEGIC ADVISERS LLC
November 11, 2008 - May 25, 2017
FIDELITY BROKERAGE SERVICES LLC
August 3, 2007 - May 21, 2008
FIDELITY BROKERAGE SERVICES LLC
April 25, 2007 - July 18, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
June 9, 2006 - October 10, 2006
NORTHWESTERN MUTUAL INVESTMENT 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.
