Todd D. Gauthier
Professional summary
Todd Dwain Gauthier is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Alpharetta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Alpharetta, Georgia.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Todd has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Todd Dwain Gauthier's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009January 22, 2009 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009January 26, 2009 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 21, 2005 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 20, 1995 - May 31, 1996
CETERA INVESTMENT SERVICES LLC
January 20, 1993 - February 17, 1995
FIRST UNION BROKERAGE SERVICES, INC.
June 2, 1988 - February 12, 1993
INVEST FINANCIAL CORPORATION
May 16, 1988 - June 7, 1988
F.N. WOLF & CO., INC.
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
December 23, 1985 - January 31, 1987
FIRST JERSEY 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
(2/4/2022)
(10/14/2021)
(6/13/2014)
(3/29/2016)
(9/26/2014)
(1/24/2017)
(1/22/2009)
(8/30/2016)
(7/7/2025)
(3/27/2014)
(7/8/2025)
(7/2/2021)
(3/27/2014)
(1/22/2009)
(2/21/2014)
(8/8/2018)
(8/18/2017)
(9/2/2016)
(5/31/2019)
(7/10/2020)
(1/22/2009)
(2/4/2021)
(5/20/2021)
(5/21/2012)
(2/2/2009)
(7/10/2025)
(10/20/2016)
(3/1/2019)
(7/8/2025)
(9/23/2021)
(1/28/2025)
(1/2/2014)
(3/26/2014)
(7/12/2018)
(7/9/2025)
(10/12/2017)
(7/7/2025)
(7/10/2025)
(7/10/2025)
Exams
FINRA
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.
