John T. Mai
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.
John Thanh Mai, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
July 6, 2017 - February 9, 2023
TRUIST ADVISORY SERVICES, INC.
June 30, 2017 - February 9, 2023
TRUIST INVESTMENT SERVICES, INC.
August 28, 2010 - July 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2010 - July 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2005 - August 30, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2005 - August 30, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 15, 1999 - February 8, 2005
B. C. ZIEGLER AND COMPANY
April 8, 1998 - January 15, 1999
VOYA FINANCIAL ADVISORS, INC.
October 14, 1991 - February 2, 1998
EMPOWER FINANCIAL SERVICES, INC.
February 12, 1991 - October 14, 1991
THE GREAT-WEST LIFE ASSURANCE COMPANY
June 20, 1989 - February 13, 1991
EMPOWER FINANCIAL SERVICES, INC.
July 1, 1985 - June 27, 1989
WS GRIFFITH SECURITIES, 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.
