James F. Austin

TRUIST ADVISORY SERVICES

ASHEVILLE, NC 28801

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CRD#: 2346539

Professional summary

James Francis Austin, who also goes by Jim Austin, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Asheville, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Asheville, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Austin

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 James Francis Austin'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: 301 College St Ste 210, Asheville, NC 28801

RIA

CRD#: 283390

ASHEVILLE, NC

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 301 College St Ste 210, Asheville, NC 28801

CRD#: 17499

Asheville, NC

Past

August 4, 2014 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

August 4, 2014 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

June 18, 2002 - June 21, 2002

WACHOVIA SECURITIES, INC.

RIA

CRD#: 431

CHARLOTTE, NC

Past

June 18, 2002 - August 4, 2014

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

ARDEN, NC

Past

June 17, 2002 - August 4, 2014

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

ARDEN, NC

Past

June 15, 2002 - June 18, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 14, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

February 23, 1995 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

August 16, 1993 - February 10, 1995

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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

California
(8/17/2021)

Colorado
(2/17/2021)

Florida
(2/17/2021)

Georgia
(2/17/2021)

Illinois
(5/11/2021)

Indiana
(2/17/2021)

Kentucky
(2/17/2021)

Maryland
(2/17/2021)

Michigan
(2/17/2021)

Mississippi
(2/17/2021)

Missouri
(2/17/2021)

Nevada
(5/10/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

IAR

North Carolina
(2/17/2021)

South Carolina
(2/17/2021)

Tennessee
(2/17/2021)

Virginia
(2/17/2021)

West Virginia
(2/17/2021)

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 65

Date: 9/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1993

General Securities Representative 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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James F. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

WACHOVIA SECURITIES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

WACHOVIA BROKERAGE SERVICE

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/1999

Series 63

Date: 7/9/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1993

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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