Bernard A. Francis
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.
Bernard Allen Francis JR, who also goes by Bernie Francis Jr, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1980. Bernard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - January 2, 2020
BB&T SECURITIES, LLC
March 1, 2016 - January 2, 2020
BB&T SECURITIES, LLC
December 23, 2010 - March 30, 2016
VALLEY FORGE ASSET MANAGEMENT, LLC
May 2, 2008 - December 1, 2008
WIDMANN, SIFF & CO., INC.
August 20, 2007 - May 2, 2008
WIDMANN, SIFF & CO., INC.
December 19, 2006 - February 12, 2008
TYLER WEALTH COUNSELORS, INC.
June 8, 1992 - March 30, 2016
VALLEY FORGE ASSET MANAGEMENT, LLC
January 25, 1983 - May 6, 1991
HAVERFORD TRUST SECURITIES, INC.
July 1, 1980 - January 28, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
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.
