Todd D. Mooneyham
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.
Todd Douglas Mooneyham was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1998. Todd had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2016 - September 8, 2017
TRUIST ADVISORY SERVICES, INC.
November 22, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
November 3, 2010 - September 8, 2017
TRUIST INVESTMENT SERVICES, INC.
July 7, 2009 - November 1, 2010
FTB ADVISORS, INC.
January 18, 2007 - November 1, 2010
FIRST HORIZON ADVISORS, INC.
January 17, 2007 - November 1, 2010
FIRST HORIZON ADVISORS, INC.
February 7, 2006 - November 2, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
January 20, 2006 - October 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 11, 2003 - January 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 28, 2003 - January 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 2000 - March 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1998 - October 31, 2000
MORGAN KEEGAN & COMPANY, 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
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.
