Relationship Disclosure

Link Title: Relationship Disclosure

Anchor ID: Relationship Disclosure

BB&T Securities (the Firm) regularly receive voluntary monies from several different partner firms that are considered indirect compensation for the Firm. These funds are used for the general education and training of the financial advisors employed by the Firm. The participation by partner firms in these educational settings is voluntary and does not constitute an agreement on the part of the Firm to favor the product and services of the participating partner firms.

Additionally, Mutual Fund companies also may pay BB&T Securities for administration and record-keeping services. These payments are not part of your financial advisor’s compensation, nor do they have any effect on your sales charge.

You should also be aware that BB&T Securities and other entities associated with BB&T that sell shares of Sterling Capital Funds may receive more revenue from the sale of Sterling Capital Funds than from the sale of other mutual funds offered by BB&T Securities.

Mutual Fund policies can be found in either the fund’s prospectus or the Statement of Additional Information (SAI), which is available on request from the fund company. The following partner firms, which include both mutual fund companies, insurance companies, and other service related firms, contributed between $1,000 and $75,000 to educational efforts of the Firm in 2018 and/or 2019.

  • AIG
  • Altegris
  • American Century Investments
  • American Funds
  • Ameritas
  • AmundiPioneer
  • Berkshire Asset Management
  • Brighthouse Financial
  • Capital Investment Mgmt
  • Capital Wealth Planning
  • Caprin Asset Management
  • Charles Schwab Investment Management
  • CUNA Mutual
  • Davis Advisors
  • Day Hagan Logix
  • Delaware Life Insurance Company
  • Dimensional Fund Advisors
  • Eagle Life Insurance Company
  • Eaton Vance
  • Federated Investors
  • First Trust Portfolios
  • Franklin Templeton
  • Great-West Financial
  • Guggenheim Investments
  • Invesco
  • Ivy Investments
  • Jackson National Life
  • John Hancock Investments
  • JP Morgan
  • Legg Mason
  • Lincoln Financial Group
  • LoCorr Funds

  • Lord Abbett & Co
  • Midwood Financial
  • Mutual Of Omaha
  • Nasdaq Dorsey Wright
  • Nationwide
  • Natixis Investment Managers
  • Nuveen
  • Oppenheimer Funds
  • Pentegra Retirement Solutions
  • PIEtech
  • Price Metrix
  • Principal Financial Group
  • Prudential
  • Retirement Plan Solutions, Inc.
  • RiverFront Investment Group
  • Russell Investments
  • Sammons Institutional Group
  • SEI
  • SkyBridge Capital
  • SouthernSun Asset Management
  • Sterling Capital Management
  • T Rowe Price
  • Tandem Investment Advisors
  • Touchstone Investments
  • Transamerica
  • Unified Trust Company
  • VOYA
  • Wealthvest
  • WestEnd Advisors
  • Yorktown Funds


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