Roman J. Pickering

TRUIST ADVISORY SERVICES

RICHMOND, VA 23224

Some features on this profile are disabled

CRD#: 2505760

Professional summary

Roman Joseph Pickering is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Richmond, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.

Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Roman has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Joseph Pickering'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

September 21, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 3, Richmond, VA 23224

RIA

CRD#: 283390

RICHMOND, VA

Current

December 11, 2007 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 3, Richmond, VA 23224

CRD#: 17499

Richmond, VA

Past

December 11, 2007 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

RICHMOND, VA

Past

January 18, 2006 - November 27, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

January 18, 2006 - November 27, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 30, 2005 - February 1, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

RICHMOND, VA

Past

May 24, 2005 - February 1, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 6, 1995 - August 18, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 22, 1994 - November 3, 1994

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 8, 1994 - August 19, 1994

WESTFIELD FINANCIAL CORPORATION

CRD#: 8143

NEW YORK, NY

Past

July 6, 1994 - September 15, 1994

HIBBARD BROWN & CO., INC.

CRD#: 18246

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".

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

Alabama
(1/2/2008)

Alaska
(1/2/2008)

Arizona
(1/2/2008)

Arkansas
(1/2/2008)

California
(1/2/2008)

Colorado
(1/2/2008)

Connecticut
(1/2/2008)

Delaware
(1/2/2008)

District of Columbia
(1/2/2008)

Florida
(1/2/2008)

Georgia
(1/2/2008)

Hawaii
(1/2/2008)

Idaho
(1/2/2008)

Illinois
(1/2/2008)

Indiana
(1/2/2008)

Iowa
(1/2/2008)

Kansas
(1/2/2008)

Kentucky
(1/2/2008)

Louisiana
(1/2/2008)

Maine
(1/2/2008)

Maryland
(1/2/2008)

Massachusetts
(1/2/2008)

Michigan
(1/2/2008)

Minnesota
(1/2/2008)

Mississippi
(1/2/2008)

Missouri
(1/2/2008)

Montana
(1/2/2008)

Nebraska
(1/2/2008)

Nevada
(1/2/2008)

New Hampshire
(1/2/2008)

New Jersey
(1/2/2008)

New Mexico
(1/2/2008)

New York
(1/2/2008)

North Carolina
(1/2/2008)

North Dakota
(1/2/2008)

Ohio
(1/2/2008)

Oklahoma
(1/2/2008)

Oregon
(1/2/2008)

Pennsylvania
(1/2/2008)

Puerto Rico
(1/2/2008)

Rhode Island
(1/2/2008)

South Carolina
(1/2/2008)

South Dakota
(1/2/2008)

Tennessee
(1/2/2008)

Texas
(1/2/2008)

Utah
(1/2/2008)

Vermont
(1/2/2008)

Virginia
(12/11/2007)

IAR

Virginia
(9/21/2016)

Washington
(1/2/2008)

West Virginia
(1/2/2008)

Wisconsin
(1/2/2008)

Wyoming
(1/2/2008)

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 66

Date: 8/29/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/6/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/23/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Karen Jones

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Richmond, VA

Joseph Mcvey

UBS FINANCIAL SERVICES INC.

IAR

Powhatan, VA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roman J. Pickering

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Joseph Pickering's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

H.J. MEYERS & CO., INC.

WESTFIELD FINANCIAL CORPORATION

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2005

Series 63

Date: 7/13/1994

SIE

Date: 10/1/2018

Series 3

Date: 9/6/2006

Series 7

Date: 7/5/1994

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 5/19/2008

Series 8

Date: 6/23/1998

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

Contact information

Similar Advisors