Gerald W. Gaffney
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.
Gerald William Gaffney, who also goes by Jerry Gaffney, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1985. Gerald had worked at 9 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2021 - February 26, 2024
TRUIST ADVISORY SERVICES, INC.
March 5, 2021 - February 26, 2024
TRUIST INVESTMENT SERVICES, INC.
November 30, 2020 - February 16, 2024
TRUIST SECURITIES, INC.
December 23, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
December 19, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
November 4, 2014 - March 10, 2021
BB&T SECURITIES, LLC
November 4, 2014 - June 29, 2021
BB&T SECURITIES, LLC
June 6, 2005 - October 29, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2005 - October 29, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2001 - December 16, 2004
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC
June 23, 1994 - September 10, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 8, 1986 - January 28, 1992
FIRST UNION CAPITAL MARKETS CORP.
April 4, 1985 - May 24, 1985
GIT INVESTMENT SERVICES, INC.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
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