Debora A. Prince
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Debora Ann Prince, who also goes by Debbie Prince, Debora Anne Prince, Debora Prince, was a registered financial professional .
Debora is a previously registered financial professional and started their career in finance in 1995. Debora had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2016 - August 28, 2017
TRUIST ADVISORY SERVICES, INC.
April 9, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
April 3, 2012 - August 28, 2017
TRUIST INVESTMENT SERVICES, INC.
October 15, 2010 - April 10, 2012
LPL FINANCIAL LLC
October 7, 2010 - April 10, 2012
LPL FINANCIAL LLC
March 2, 2007 - October 1, 2010
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - October 1, 2010
MORGAN KEEGAN & COMPANY, LLC
August 2, 2006 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
July 5, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
October 20, 2004 - April 26, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 26, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
February 2, 1998 - October 20, 2004
QUICK & REILLY, INC.
July 16, 1996 - January 21, 1998
BARNETT INVESTMENTS, INC.
March 22, 1996 - April 30, 1996
OLD NAPLES SECURITIES, INC.
August 1, 1995 - September 6, 1995
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
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
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.
