Douglas W. Smith
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.
Douglas Warren Smith was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - January 29, 2026
TRUIST ADVISORY SERVICES, INC.
October 4, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 4, 2013 - January 29, 2026
TRUIST INVESTMENT SERVICES, INC.
September 9, 2011 - September 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2011 - September 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2003 - September 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - September 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 9, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 30, 1990 - January 25, 1993
INVEST FINANCIAL CORPORATION
March 11, 1989 - December 12, 1989
B C FINANCIAL CORPORATION
September 24, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
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.
