Douglas W. Smith
Professional summary
Douglas Warren Smith is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Atlanta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Atlanta, Georgia.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has 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) - RIA
Click below to view Douglas Warren Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339October 4, 2013 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339October 4, 2013 - December 31, 2016
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
(4/26/2022)
(11/10/2020)
(1/20/2017)
(12/18/2020)
(10/21/2013)
(10/4/2013)
(9/1/2016)
(5/9/2017)
(2/1/2019)
(10/7/2013)
(6/18/2024)
(11/2/2023)
(1/15/2015)
(10/7/2013)
(12/10/2019)
(4/8/2021)
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
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