Thomas G. Roediger

TRUIST ADVISORY SERVICES

CHARLOTTE, NC 28202

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CRD#: 2027646

Professional summary

Thomas Goodwin Roediger, who also goes by Tom Roediger, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Charlotte, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 16 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Roediger

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 Thomas Goodwin Roediger'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: 214 N Tryon St Fl 46, Charlotte, NC 28202

RIA

CRD#: 283390

CHARLOTTE, NC

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 214 N Tryon St Fl 32, Charlotte, NC 28202

CRD#: 17499

CHARLOTTE, NC

Past

February 26, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

February 26, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

September 13, 2014 - February 26, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

Zebulon, NC

Past

August 28, 2014 - February 26, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

Zebulon, NC

Past

August 4, 2009 - August 11, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

WAXHAW, NC

Past

June 24, 2008 - March 24, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

February 3, 2006 - January 31, 2008

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

CINCINNATI, OH

Past

August 3, 2005 - January 20, 2006

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

MONROEVILLE, PA

Past

May 2, 2005 - January 20, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

October 2, 2003 - April 29, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 1, 2001 - August 8, 2003

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 31, 2000 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

November 12, 1998 - May 31, 2000

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

June 2, 1997 - March 6, 1998

MEEDER DISTRIBUTION SERVICES, INC.

CRD#: 36773

DUBLIN, OH

Past

August 6, 1990 - October 3, 1991

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 13, 1990 - June 11, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 13, 1990 - June 11, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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)

Alaska
(3/16/2021)

Arizona
(2/17/2021)

Arkansas
(3/16/2021)

California
(2/17/2021)

Colorado
(3/16/2021)

Connecticut
(3/16/2021)

Delaware
(3/16/2021)

District of Columbia
(2/17/2021)

Florida
(2/17/2021)

Georgia
(2/17/2021)

Hawaii
(3/16/2021)

Idaho
(3/16/2021)

Illinois
(2/17/2021)

Indiana
(2/17/2021)

Iowa
(3/16/2021)

Kansas
(3/16/2021)

Kentucky
(2/17/2021)

Louisiana
(3/16/2021)

Maine
(3/16/2021)

Maryland
(2/17/2021)

Massachusetts
(3/16/2021)

Michigan
(2/17/2021)

Minnesota
(3/16/2021)

Mississippi
(3/16/2021)

Missouri
(3/16/2021)

Montana
(3/16/2021)

Nebraska
(3/16/2021)

Nevada
(2/17/2021)

New Hampshire
(3/16/2021)

New Jersey
(3/16/2021)

New Mexico
(3/16/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

IAR

North Carolina
(2/17/2021)

North Dakota
(3/16/2021)

Ohio
(2/17/2021)

Oklahoma
(3/16/2021)

Oregon
(3/16/2021)

Pennsylvania
(2/17/2021)

Puerto Rico
(3/16/2021)

Rhode Island
(3/16/2021)

South Carolina
(2/17/2021)

South Dakota
(3/16/2021)

Tennessee
(2/17/2021)

Texas
(2/17/2021)

Utah
(2/17/2021)

Vermont
(3/16/2021)

Virginia
(2/17/2021)

Washington
(3/16/2021)

West Virginia
(2/17/2021)

Wisconsin
(2/17/2021)

Wyoming
(3/16/2021)

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 66

Date: 9/13/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/12/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/5/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/20/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/17/1997

Investment Company Products/Variable Contracts 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

Thomas G. Roediger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Goodwin Roediger's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

ALLSTATE FINANCIAL SERVICES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

AUGUSTAR DISTRIBUTORS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

PARK AVENUE SECURITIES LLC

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

CONSECO SECURITIES, INC.

MEEDER DISTRIBUTION SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2014

Series 63

Date: 2/12/1999

Series 65

Date: 3/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 1/21/2000

Series 6

Date: 2/20/1997

Series 24

Date: 4/30/2004

Series 26

Date: 12/17/1997

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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