Louis E. Seymour
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.
Louis Edward Seymour, who also goes by Les Seymore, Louis Seymour, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1985. Louis had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - October 3, 2022
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - October 3, 2022
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
June 14, 2005 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 14, 2005 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
April 21, 2004 - June 6, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
April 21, 2004 - June 6, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
June 20, 2002 - April 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - April 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2002 - June 20, 2002
WACHOVIA SECURITIES, INC.
April 10, 2002 - June 15, 2002
WACHOVIA SECURITIES, INC.
April 12, 2001 - April 1, 2002
MORGAN KEEGAN & COMPANY, LLC
February 16, 2001 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
July 11, 1997 - August 24, 1999
WMA SECURITIES, INC.
November 10, 1992 - July 11, 1995
MERIDIAN, DUNHILL & CO., INC.
March 28, 1989 - December 7, 1990
CITIGROUP GLOBAL MARKETS INC.
January 5, 1987 - April 6, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
April 15, 1985 - January 30, 1987
CITIGROUP GLOBAL MARKETS 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
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.
