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JW

James A. Wesche

TRUIST ADVISORY SERVICES
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 2235195
JW

Professional summary

James August Wesche JR, who also goes by James August Wesche, Jim Wesche Jr, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Winter Park, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James August Wesche | Jim Wesche Jr

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.
POSITION: Owner NATURE: This is a non-operating LLC with no revenuethatwas set up toholdinvestment algorithms thatI developed. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2016 ADDRESS: , Cheyenne WY DESCRIPTION: I spend 1 hour a week on the weekends updatingthe algorithm spreadsheetwith closing prices of various indicesto keep the data current. Thereare no investment funds in the LLC. It simply holds the intellectual property of the algorithm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James August Wesche JR'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

June 15, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 400 Park Avenue South Suite 200, Winter Park, FL 32789
RIA
CRD#: 283390
Winter Park, FL
Past

November 1, 2017 - December 31, 2017

GFO ADVISORY SERVICES, LLC

RIA
CRD#: 109278
Winter Park, FL
Past

November 23, 2011 - April 8, 2016

MORGAN STANLEY

RIA
CRD#: 149777
WINTER PARK, FL
Past

October 19, 2011 - April 8, 2016

MORGAN STANLEY

BD
CRD#: 149777
WINTER PARK, FL
Past

December 17, 2004 - February 1, 2007

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

September 11, 1997 - February 1, 2007

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

June 10, 1992 - May 16, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, 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.

Highlighted states indicate IAR registrations

IAR
Florida
(6/15/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/22/2011
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/24/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2011
General Securities Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Winter Park, FL 32789

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