Sarah F. Shotts

TRUIST ADVISORY SERVICES

BIRMINGHAM, AL 35223

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CRD#: 3001876

Professional summary

Sarah Frances Shotts, who also goes by Sarah F Shotts, Sarah Reed Shotts, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Birmingham, Alabama and TRUIST INVESTMENT SERVICES, INC. located in Birmingham, Alabama.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sarah F Shotts | Sarah Reed Shotts

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ELL LLC POSITION: partner NATURE: Home mother lives in is in the LLC and the REp and Sibilings are the partners of the LLC, INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 1207 woodmont dr, huntsville AL 35801

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Frances Shotts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 2501 20th Place S Ste 101, Birmingham, AL 35223

RIA

CRD#: 283390

BIRMINGHAM, AL

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 2501 20th Pl S Ste 101, Birmingham, AL 35223

CRD#: 17499

Birmingham, AL

Past

September 25, 2015 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

September 25, 2015 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

June 1, 2009 - September 29, 2015

MORGAN STANLEY

RIA

CRD#: 149777

BIRMINGHAM, AL

Past

June 1, 2009 - September 29, 2015

MORGAN STANLEY

CRD#: 149777

BIRMINGHAM, AL

Past

April 26, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BIRMINGHAM, AL

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BIRMINGHAM, AL

Past

April 25, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 14, 2000 - March 30, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 28, 1999 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

February 19, 1998 - April 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/17/2021)

IAR

Alabama
(2/17/2021)

Alaska
(2/17/2021)

Arizona
(4/7/2021)

Arkansas
(2/17/2021)

California
(2/17/2021)

Colorado
(2/17/2021)

Connecticut
(4/7/2021)

Delaware
(4/7/2021)

District of Columbia
(4/7/2021)

Florida
(2/17/2021)

Georgia
(2/17/2021)

Hawaii
(2/17/2021)

Idaho
(4/7/2021)

Illinois
(4/7/2021)

Indiana
(4/7/2021)

Iowa
(4/7/2021)

Kansas
(4/7/2021)

Kentucky
(2/17/2021)

Louisiana
(2/17/2021)

Maine
(4/7/2021)

Maryland
(4/7/2021)

Massachusetts
(4/7/2021)

Michigan
(4/7/2021)

Minnesota
(2/17/2021)

Mississippi
(2/17/2021)

Missouri
(2/17/2021)

Montana
(2/17/2021)

Nebraska
(4/7/2021)

Nevada
(4/7/2021)

New Hampshire
(4/7/2021)

New Jersey
(2/17/2021)

New Mexico
(2/17/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

North Dakota
(4/7/2021)

Ohio
(4/9/2021)

Oklahoma
(4/7/2021)

Oregon
(4/7/2021)

Pennsylvania
(2/17/2021)

Puerto Rico
(4/7/2021)

Rhode Island
(4/7/2021)

South Carolina
(2/17/2021)

South Dakota
(4/7/2021)

Tennessee
(2/17/2021)

Texas
(2/17/2021)

Utah
(4/7/2021)

Vermont
(4/7/2021)

Virgin Islands
(4/7/2021)

Virginia
(2/17/2021)

Washington
(2/17/2021)

West Virginia
(4/7/2021)

Wisconsin
(2/17/2021)

Wyoming
(4/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/8/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

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Sarah F. Shotts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Frances Shotts's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2007

Series 63

Date: 1/8/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1998

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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