Walter CLAYTON Pate

Walter CLAYTON Pate is currently employed as a Broker and/or Investment Adviser at BB&T SECURITIES, LLC located at 945 HOUSTON NORTHCUTT BOULEVARD, MT. PLEASANT, SC, 29464.

Walter CLAYTON Pate has worked at BB&T SECURITIES, LLC since February 27, 2017

Disclosure History

Walter CLAYTON Pate has 1 Disclosure Event(s).

Date: October 16, 2006
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES SALES CHARGES WERE NOT DISCUSSED IN THE SALE OF MUTUAL FUNDS PURCHASED IN 2006.
Settlement Amount: $7,125.95

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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