Todd R. Sowpel
Professional summary
Todd Richard Sowpel, who also goes by Todd Sopwel, Todd R Sowpel, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Sanford, Florida and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.
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 9 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Todd Richard Sowpel's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 214 N Tryon St Fl 21 32, Charlotte, NC, 28202January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
April 12, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 9, 2017 - February 17, 2021
BB&T SECURITIES, LLC
January 3, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 13, 2006 - January 6, 2017
PERSHING ADVISOR SOLUTIONS LLC
June 19, 2003 - February 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 30, 2001 - December 20, 2002
REFCO SECURITIES, LLC
August 14, 1997 - May 16, 2001
HARRISDIRECT LLC
May 16, 1997 - June 11, 1997
INVESTORS ASSOCIATES, 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
(2/17/2021)
(2/17/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/24/2000
Limited Representative-Equity Trader ExamFINRA
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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