Judith L. Harkleroad
Professional summary
Judith Lynn Harkleroad, who also goes by Judith Lynn Price, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Chattanooga, Tennessee and TRUIST INVESTMENT SERVICES, INC. located in Chattanooga, Tennessee.
Judith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Judith has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Judith Lynn Harkleroad's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 7001 Lee Highway, Chattanooga, TN 37421February 16, 1998 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 3513 Dayton Blvd, Chattanooga, TN 37415Office #2: 4323 Ringgold Rd, Chattanooga, TN 37412Office #3: 1900 Gunbarrel Rd, Chattanooga, TN 37421Office #4: 1829 Decherd Blvd, Decherd, TN 37324Office #5: 7001 Lee Hwy, Chattanooga, TN 37421Office #6: 2801 E 48th St, Chattanooga, TN 37407Office #7: 2201 E 3rd St, Chattanooga, TN 37404Office #8: 4614 Highway 58, Chattanooga, TN 37416Office #9: 1911 W Us Highway 64, Murphy, NC 28906Office #10: 1604 Decatur Pike, Athens, TN 37303July 10, 2002 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
December 18, 1996 - January 12, 1998
HSBC BROKERAGE (USA) INC.
November 17, 1995 - September 25, 1996
MORGAN STANLEY DW 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
(2/16/1998)
(10/27/2025)
(5/25/2016)
(9/1/1998)
(2/16/1998)
(1/13/1999)
(8/30/2021)
(9/19/2023)
(11/20/2024)
(4/30/2007)
(10/3/2024)
(9/12/2021)
(1/14/2025)
(4/25/2024)
(7/22/2025)
(3/21/2023)
(3/22/2023)
(2/17/1998)
(9/9/2016)
(4/25/2024)
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Chattanooga, TN 37421TRUST BUT VERIFY
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