Individual Firm - By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use
| Name | Position |
|---|---|
| BB&T CORPORATION | OWNER |
| ROBBINS, GEORGE WILLIAM IV (CRD#:2440106) | BOARD OF MANAGERS |
| BALL, MICHAEL DOUGLAS (CRD#:1134463) | SENIOR MANAGING DIRECTOR / REGIONAL MANAGER |
| CECIL, ALEXANDER WILSON (CRD#:2319938) | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR / BOARD OF MANAGERS |
| CRAM, BRYAN SCOTT (CRD#:2723431) | PRESIDENT PRIVATE CLIENT GROUP/SENIOR MANAGING DIRECTOR/BOARD OF MANAGERS |
| DANIELS, KENNETH LUE (CRD#: 5562440) | BOARD OF MANAGERS |
| GRIM, MERLIN T (CRD#:1386380) | SENIOR MANAGING DIRECTOR/FINANCIAL OPERATIONS & RISK OFFICER/BOARD OF MANAGERS |
| HARDY, WILLIAM EDWARD (CRD#: 1459645) | SENIOR MANAGING DIRECTOR / HEAD OF DEBT CAPITAL MARKETS/BOARD OF MANAGERS |
| JOHNSON, HAL SWORDS (CRD#:2932544) | BOARD OF MANAGERS |
| JUNG, JOHN BERNARD JR (CRD#:1296163) | SR MANAGING DIR./CHIEF MARKETING OFFICER/BOARD OF MANAGERS |
| OSHEA, PATRICK ARTHUR (CRD#:1580879) | SENIOR MANAGING DIRECTOR/EQUITY CAPITAL MARKETS/BOARD OF MANAGERS |
| OWEN, MICHAEL COLE (CRD#:1146778) | SENIOR MANAGING DIRECTOR / REGIONAL MANAGER |
| SAUFLEY, RANDALL BARRETT (CRD#:1664935) | CHIEF FINANCIAL OFFICER / FINOP /MANAGING DIRECTOR |
| SCOTT, SIDNEY BUFORD (CRD#:417234) | CHAIRMAN/BOARD OF MANAGERS |
| THOMPSON, JUSTIN SHANE (CRD#:3200997) | ROP |
| YATES, WILLIAM RUFUS III (CRD#:4515188) | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS |
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A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.