Shaun P. Sims
Professional summary
Shaun Philip Sims is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in North Chesterfield, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.
Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shaun has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Philip Sims's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 27, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1500 Koger Center Blvd, North Chesterfield, VA 23235June 8, 2004 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 7133 Forest Hill Ave, Richmond, VA 23225Office #3: 1500 Koger Center Blvd, North Chesterfield, VA 23235Office #4: 4708 Forest Hill Ave, Richmond, VA 23225Office #5: 12840 Route 1, Chester, VA 23831Office #6: 1801 W Broad St, Richmond, VA 23220Office #7: 10170 Brook Rd, Glen Allen, VA 23059June 8, 2004 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 21, 2001 - June 8, 2004
FIRST CITIZENS INVESTOR SERVICES, INC.
October 24, 2000 - June 8, 2004
FIRST CITIZENS INVESTOR SERVICES, INC.
June 17, 1999 - September 1, 2000
EDWARD JONES
May 26, 1998 - June 7, 1999
J.P. SECURITIES, 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
(1/24/2017)
(10/16/2024)
(3/25/2014)
(10/25/2022)
(11/16/2009)
(3/16/2015)
(2/28/2019)
(9/30/2019)
(9/14/2018)
(11/20/2008)
(4/9/2021)
(11/15/2021)
(4/6/2011)
(6/15/2016)
(7/10/2020)
(9/10/2020)
(4/16/2008)
(3/24/2025)
(3/17/2021)
(11/15/2021)
(3/20/2015)
(7/18/2017)
(2/2/2018)
(10/18/2019)
(2/6/2020)
(1/17/2020)
(6/8/2004)
(9/27/2016)
(10/25/2021)
(6/9/2021)
(8/27/2021)
(7/10/2020)
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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