Maureen P. Middleton
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.
Maureen Padgett Middleton, who also goes by Maureen S May, Maureen Shacochis May, Maureen May, Maureen P Middleton, Maureen Padgett, Maureen Shacochis, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1998. Maureen had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2021 - October 6, 2021
TRUIST ADVISORY SERVICES, INC.
June 8, 2021 - October 6, 2021
TRUIST INVESTMENT SERVICES, INC.
March 4, 2021 - May 10, 2021
PETROS ADVISORY SERVICES, LLC
October 17, 2019 - April 2, 2020
OMNITRUST WEALTH MANAGEMENT, INC.
September 6, 2018 - September 23, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 15, 2018 - September 23, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 12, 2018 - May 9, 2018
PRUCO SECURITIES, LLC.
April 11, 2017 - July 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2017 - July 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - March 27, 2012
MORGAN STANLEY
June 1, 2009 - March 27, 2012
MORGAN STANLEY
April 7, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 3, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 13, 2005 - April 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2005 - April 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2002 - January 13, 2005
CUSO FINANCIAL SERVICES, L.P.
August 25, 2000 - January 13, 2005
CUSO FINANCIAL SERVICES, L.P.
March 24, 1998 - August 22, 2000
LPL FINANCIAL LLC
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.
