Joanne M. Wadsworth
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.
Joanne Marie Wadsworth, CFP®, who also goes by Joanne Marie Edwards, Joanne Marie Seem, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1997. Joanne had worked at 9 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
Start date: 2000
Experience
February 17, 2021 - July 3, 2023
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - July 3, 2023
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
September 19, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
September 19, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
August 22, 2011 - September 9, 2011
UNITED BROKERAGE SERVICES, INC
August 22, 2011 - September 9, 2011
UNITED BROKERAGE SERVICES, INC
February 1, 2008 - August 19, 2011
LPL FINANCIAL LLC
January 31, 2008 - August 19, 2011
LPL FINANCIAL LLC
October 25, 2005 - January 31, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
October 25, 2005 - January 31, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
February 21, 2001 - November 14, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 22, 2000 - November 14, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 18, 1997 - November 10, 2000
ONE VALLEY SECURITIES CORPORATION
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.
