Brian R. James
Professional summary
Brian Roger James is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Westlake, Texas and TRUIST INVESTMENT SERVICES, INC. located in Westlake, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Roger James's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1301 Solana Blvd Ste 2340, Westlake, TX 76262June 1, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1301 Solana Blvd Bl 2 - Ste 2340, Westlake, TX 76262May 16, 2013 - June 1, 2021
BBVA SECURITIES INC.
February 7, 2013 - June 1, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 21, 2012 - January 14, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 21, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 23, 2009 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 1, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 3, 1996 - January 17, 2001
BANC ONE SECURITIES CORPORATION
December 9, 1994 - November 13, 1996
FIDELITY BROKERAGE SERVICES 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
(6/8/2021)
(11/9/2021)
(8/24/2022)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/1/2021)
(6/3/2021)
(6/3/2021)
(6/1/2021)
(9/30/2025)
(6/1/2021)
Exams
FINRA
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.
