Joseph G. Ferraro

TRUIST ADVISORY SERVICES

DAWSONVILLE, GA 30534

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CRD#: 1829269

Professional summary

Joseph G. Ferraro, who also goes by Joseph G Ferraro, Joseph Gino Ferraro, Joseph Gino Santa Maria Ferraro, Joseph Ferraro, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Dawsonville, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Cumming, Georgia.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph G Ferraro | Joseph Gino Ferraro | Joseph Gino Santa Maria Ferraro | Joseph Ferraro

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph G. Ferraro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 136 Highway 400 S, Dawsonville, GA 30534

RIA

CRD#: 283390

DAWSONVILLE, GA

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 214 Dahlonega Rd, Cumming, GA 30040Office #2: 136 Highway 400 S, Dawsonville, GA 30534Office #3: 360 Peachtree Pkwy, Cumming, GA 30041Office #4: 148 Memorial Dr, Dahlonega, GA 30533Office #5: 2673 Freedom Pkwy, Cumming, GA 30041

CRD#: 17499

CUMMING, GA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

March 12, 2003 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

DAWSONVILLE, GA

Past

June 4, 2001 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

DAWSONVILLE, GA

Past

May 17, 2001 - May 24, 2001

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

February 12, 2001 - June 1, 2001

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

February 14, 2000 - January 8, 2001

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

January 20, 2000 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

December 20, 1996 - September 15, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 17, 1996 - January 17, 1997

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 2, 1994 - August 15, 1996

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

January 25, 1989 - January 26, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 21, 1988 - January 9, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/17/2021)

Arizona
(10/27/2021)

California
(2/17/2021)

Colorado
(6/13/2025)

Florida
(2/17/2021)

Georgia
(2/17/2021)

IAR

Georgia
(2/17/2021)

Idaho
(2/2/2024)

Iowa
(1/26/2024)

Maryland
(2/17/2021)

Minnesota
(2/17/2021)

Mississippi
(1/25/2022)

New York
(2/17/2021)

North Carolina
(2/17/2021)

Ohio
(2/17/2021)

Pennsylvania
(10/17/2025)

South Carolina
(2/17/2021)

Tennessee
(2/17/2021)

Texas
(2/17/2021)

Vermont
(2/17/2021)

Virginia
(2/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/16/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph G. Ferraro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph G. Ferraro's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

WACHOVIA SECURITIES, INC.

WACHOVIA BROKERAGE SERVICE

CITICORP INVESTMENT SERVICES

FIRST UNION BROKERAGE SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/1998

Series 63

Date: 7/6/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 24

Date: 1/16/1997

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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