T S. Thompson
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.
T S Thompson, who also goes by Sloan Thompson, T. Sloan Thompson, Terry Sloan Thompson, was a registered financial professional .
T is a previously registered financial professional and started their career in finance in 1995. T had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
February 17, 2021 - March 21, 2024
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - March 21, 2024
TRUIST INVESTMENT SERVICES, INC.
September 6, 2017 - February 17, 2021
BB&T SECURITIES, LLC
August 31, 2017 - February 17, 2021
BB&T SECURITIES, LLC
May 6, 2009 - September 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2009 - September 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2003 - April 30, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 30, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 23, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 27, 1996 - April 2, 1999
WACHOVIA BROKERAGE SERVICE
March 3, 1995 - December 8, 1995
FIRST UNION CAPITAL MARKETS CORP.
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.
