Individual Firm
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LARRY WAYNE KEITH JR
LARRY KEITH
CRD#: 5592738
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 4320 S 17TH ST
WILMINGTON, NC 28412
WILMINGTON, NC 28412
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 4320 S 17TH ST
WILMINGTON, NC 28412
WILMINGTON, NC 28412
View By:
2/6/2017
Customer Dispute
Settled
State Registrations
B
Florida 2/17/2021
B
North Carolina 2/17/2021
B
Illinois 2/17/2021
IA
North Carolina 2/17/2021
B
Maryland 2/17/2021
B
Pennsylvania 2/17/2021
B
New Jersey 2/17/2021
B
South Carolina 2/17/2021
B
New Mexico 2/17/2021
B
Tennessee 2/17/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/17/2021
B
Registered with this firm since 2/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
B | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
IA | 11/25/2016 - 01/02/2018 | SHALLOTTE, NC | |
B | 11/25/2016 - 01/02/2018 | SHALLOTTE, NC | |
IA | 09/28/2012 - 11/10/2016 | WILMINGTON, NC | |
B | 09/28/2012 - 11/10/2016 | WILMINGTON, NC | |
IA | 01/13/2009 - 10/02/2012 | WILMINGTON, NC | |
B | 12/09/2008 - 10/02/2012 | WILMINGTON, NC |
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B
Broker 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.
IA
Investment Adviser 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.
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.