Robert J. Thwaites
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.
Robert James Thwaites, who also goes by Bob Thwaites, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2016 - June 9, 2025
TRUIST ADVISORY SERVICES, INC.
August 3, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
July 31, 2015 - June 9, 2025
TRUIST INVESTMENT SERVICES, INC.
February 19, 2013 - August 3, 2015
FIFTH THIRD SECURITIES, INC.
February 15, 2013 - August 3, 2015
FIFTH THIRD SECURITIES, INC.
June 1, 2009 - March 5, 2013
MORGAN STANLEY
June 1, 2009 - March 5, 2013
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 11, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 11, 1991 - May 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1991 - May 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1983 - August 26, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
