Todd J. Thompson
Professional summary
Todd Joseph Thompson is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Atlanta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Atlanta, Georgia.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Todd has 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) - RIA
Click below to view Todd Joseph Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339November 27, 2009 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339Office #2: 42 Metromont Rd, Hiram, GA 30141November 2, 2009 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 20, 2006 - August 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2005 - August 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2000 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
June 8, 1998 - August 3, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 1, 1998 - May 7, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 25, 1997 - April 1, 1998
BARNETT INVESTMENTS, 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
(10/30/2017)
(6/3/2016)
(12/15/2022)
(5/15/2024)
(8/3/2022)
(12/12/2024)
(1/31/2012)
(12/1/2009)
(9/1/2016)
(4/6/2020)
(2/4/2014)
(3/22/2017)
(9/3/2025)
(1/28/2022)
(5/14/2024)
(7/29/2022)
(3/8/2011)
(10/2/2013)
(2/21/2017)
(8/19/2024)
(1/23/2024)
(2/26/2020)
(1/9/2019)
(6/20/2011)
(1/15/2020)
(7/31/2019)
(11/8/2024)
(5/20/2020)
(8/16/2024)
(10/28/2021)
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
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