CS
Charles D. Shepherd
TRUIST ADVISORY SERVICES
AUSTIN, TX 78701
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CRD#: 2042349
CS
Professional summary
Charles Davis Shepherd, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Austin, Texas and TRUIST INVESTMENT SERVICES, INC. located in Dallas, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Charles has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Davis Shepherd's 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®
CFP®
Start date: 2022
Experience
Current
March 9, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 611 West 5th Street 2nd Floor Md, Austin, TX 78701RIA
CRD#: 283390
AUSTIN, TX
Current
March 1, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 100 Crescent Ct Fl 10, Dallas, TX 75201Office #2: 611 W 5th St Fl 1, Austin, TX 78701BD
CRD#: 17499
Dallas, TX
Past
March 20, 1990 - June 1, 1993
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
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".
TA
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.RR
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
RR
Alabama(2/3/2022)
RR
Arkansas(6/18/2021)
RR
California(6/18/2021)
RR
Colorado(2/3/2022)
RR
District of Columbia(11/19/2024)
RR
Florida(6/18/2021)
RR
Georgia(2/3/2022)
RR
Illinois(11/19/2024)
RR
Kentucky(2/3/2022)
RR
Louisiana(2/3/2022)
RR
Maine(2/3/2022)
RR
Maryland(2/3/2022)
RR
Massachusetts(10/22/2021)
RR
Michigan(11/19/2024)
RR
Mississippi(6/18/2021)
RR
New Jersey(2/3/2022)
RR
New York(2/3/2022)
RR
North Carolina(3/12/2021)
RR
North Dakota(6/18/2021)
RR
Ohio(2/3/2022)
RR
Oklahoma(2/3/2022)
RR
Pennsylvania(2/3/2022)
RR
South Carolina(6/18/2021)
RR
South Dakota(6/18/2021)
RR
Tennessee(6/18/2021)
RR
Texas(3/8/2021)
IAR
Texas(3/9/2021)
RR
Utah(2/3/2022)
RR
Virginia(3/12/2021)
RR
Washington(6/18/2021)
RR
West Virginia(11/19/2024)
RR
Wisconsin(2/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
