TF
Thomas C. Fontana
TRUIST ADVISORY SERVICES
OCALA, FL 34474
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CRD#: 2091876
TF
Professional summary
Thomas Charles Fontana is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Ocala, Florida and TRUIST INVESTMENT SERVICES, INC. located in Ocala, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
RENTAL PROPERTY: START APPROX 11/11/2002, INVESTMENT RELATED, NOT PUBLICLY TRADED, 8880 SE 8TH TERRACE OCALA FL 34472, PARTNER IN RENTAL HOME OWNERSHIP, NO DUTIES, 60/40 PARTNER, 0 HRS PER MONTH, 0 HRS DURING SCHEDULED WORK HRS, COMP IS APPROX $400 PER MO RENTAL INCOME. TRANSITION LIFE CENTER POSITION: Board Member NATURE: On the board to help raise funds and approve spending along with other board members to grow TLC through a new facility and ongoing improvements to hold special needs adults during the day. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2019 ADDRESS: 3360 NW Gainesville Road, Ocala FL 34475
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Charles Fontana'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®
NoneExperience
Current
February 17, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 4414 Sw College Rd Ste 1450, Ocala, FL 34474RIA
CRD#: 283390
OCALA, FL
Current
February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 4414 Sw College Rd Ste 1450, Ocala, FL 34474BD
CRD#: 17499
Ocala, FL
Past
October 14, 2015 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
October 12, 2015 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
September 3, 2009 - October 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OCALA, FL
Past
August 28, 2009 - October 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OCALA, FL
Past
March 6, 2007 - August 31, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
OCALA, FL
Past
February 13, 2007 - August 31, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
OCALA, FL
Past
June 27, 2005 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
OCALA, FL
Past
March 8, 2001 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
OCALA, FL
Past
May 16, 2000 - February 28, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 25, 1995 - May 18, 2000
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
March 9, 1994 - July 27, 1994
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
May 3, 1993 - March 5, 1994
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
April 16, 1992 - March 3, 1993
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
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(2/17/2021)
RR
Alaska(11/9/2022)
RR
Arizona(11/9/2022)
RR
Arkansas(11/9/2022)
RR
California(2/17/2021)
RR
Colorado(2/17/2021)
RR
Connecticut(2/17/2021)
RR
Delaware(11/9/2022)
RR
District of Columbia(2/17/2021)
RR
Florida(2/17/2021)
IAR
Florida(2/17/2021)
RR
Georgia(2/17/2021)
RR
Hawaii(11/9/2022)
RR
Idaho(11/9/2022)
RR
Illinois(2/17/2021)
RR
Indiana(11/9/2022)
RR
Iowa(11/9/2022)
RR
Kansas(10/20/2022)
RR
Kentucky(2/8/2022)
RR
Louisiana(2/17/2021)
IAR
Louisiana(4/19/2021)
RR
Maine(11/9/2022)
RR
Maryland(2/11/2022)
RR
Massachusetts(2/17/2021)
RR
Michigan(2/17/2021)
RR
Minnesota(2/17/2021)
RR
Mississippi(2/17/2021)
RR
Missouri(11/9/2022)
RR
Montana(11/9/2022)
RR
Nebraska(11/9/2022)
RR
Nevada(11/9/2022)
RR
New Hampshire(11/9/2022)
RR
New Jersey(2/17/2021)
RR
New Mexico(2/17/2021)
RR
New York(2/17/2021)
RR
North Carolina(2/17/2021)
RR
North Dakota(11/9/2022)
RR
Ohio(5/9/2022)
RR
Oklahoma(5/20/2022)
RR
Oregon(5/20/2022)
RR
Pennsylvania(2/17/2021)
RR
Puerto Rico(11/9/2022)
RR
Rhode Island(7/1/2021)
IAR
Rhode Island(8/11/2021)
RR
South Carolina(2/17/2021)
RR
South Dakota(11/9/2022)
RR
Tennessee(2/17/2021)
RR
Texas(2/17/2021)
IAR
Texas(4/15/2021)
RR
Utah(11/9/2022)
RR
Vermont(2/17/2021)
RR
Virgin Islands(11/9/2022)
RR
Virginia(7/1/2021)
RR
Washington(11/9/2022)
RR
West Virginia(2/17/2021)
RR
Wisconsin(9/17/2021)
RR
Wyoming(11/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
Registered Investment Advisory firm - (5/18/2016 Approved)Upgrade to AdvisorCheck Premium
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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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Ocala, FL 34474TRUST BUT VERIFY
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