Randall A. Carbone
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.
Randall A Carbone, who also goes by Randall Anthony Carbone, Randall Carbone, Randall A Carbone, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1979. Randall had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 15, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2019 - February 17, 2021
BB&T SECURITIES, LLC
October 7, 2016 - September 29, 2023
TRUIST ADVISORY SERVICES, INC.
June 9, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
May 15, 2014 - September 29, 2023
TRUIST INVESTMENT SERVICES, INC.
April 28, 2011 - May 14, 2014
WADDELL & REED
April 28, 2011 - May 14, 2014
WADDELL & REED
August 19, 2010 - May 17, 2011
DOLAN CAPITAL GROUP, LLC
October 6, 2006 - May 29, 2009
JANNEY MONTGOMERY SCOTT LLC
October 4, 2006 - May 29, 2009
JANNEY MONTGOMERY SCOTT LLC
March 8, 2006 - June 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - June 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2003 - March 8, 2006
ADVEST, INC.
January 2, 2003 - March 8, 2006
ADVEST, INC.
March 1, 1999 - October 24, 2002
LEGG MASON WOOD WALKER, INCORPORATED
March 6, 1981 - March 5, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1979 - March 27, 1981
BURBANK & COMPANY, INC.
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 15
Date: 1/17/1996
Foreign Currency Options ExaminationSeries 8
Date: 5/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
