John Sherman
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.
John Sherman JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 24, Series 4 and Series 12 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, 2013 - July 27, 2017
BB&T SECURITIES, LLC
January 2, 2013 - July 27, 2017
BB&T SECURITIES, LLC
February 6, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
December 31, 2001 - December 31, 2005
SCOTT & STRINGFELLOW, LLC
May 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 19, 1988 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
February 16, 1988 - September 28, 1988
SHURGARD REALTY ADVISORS, INC.
January 19, 1981 - February 10, 1988
FIRST UNION CAPITAL MARKETS CORP.
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
Series 5
Date: 10/28/1982
Interest Rate Options ExaminationSeries 12
Date: 12/9/1981
NYSE Branch Manager ExaminationCurrent 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.
