James F. Kauchak
Professional summary
James Francis Kauchak, CFP®, who also goes by Jim Kauchak, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Winter Park, Florida and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Francis Kauchak's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
June 8, 2015 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 214 N Tryon St Fl 17 32, 33, 34, Charlotte, NC, 28202December 26, 2019 - March 2, 2021
BB&T SECURITIES, LLC
December 9, 2019 - February 17, 2021
BB&T SECURITIES, LLC
June 9, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 23, 2012 - June 5, 2015
PNC WEALTH MANAGEMENT LLC
October 3, 2012 - June 5, 2015
PNC WEALTH MANAGEMENT LLC
August 31, 2010 - August 27, 2012
SCOTTRADE, INC.
June 8, 2007 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
March 29, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 29, 2007 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
May 2, 2003 - February 5, 2007
TD AMERITRADE, INC.
November 5, 1993 - February 5, 2007
TD AMERITRADE, INC.
June 18, 1993 - November 1, 1993
IDS LIFE INSURANCE COMPANY
June 18, 1993 - November 1, 1993
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
(6/8/2015)
(9/14/2016)
(6/8/2015)
Exams
Series 8
Date: 2/2/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
