Lillian D. Gray

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CRD#: 3110646

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.

Lillian Diaz Gray, who also goes by Lillian Del Carmen Diaz, was a registered financial professional .

Lillian is a previously registered financial professional and started their career in finance in 1999. Lillian had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lillian Del Carmen Diaz

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.

I*111506 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LEADERSHIP AUSTIN INVESTMENT RELATED: N ADDRESS OF BUSINESS: AUSTIN, TEXAS 78701 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/15/2018 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LEADERSHIP AUSTIN OFFERS EMERGING & COMMUNITY LEADERS THE OPPORTUNITY TO DEVELOP PERSONAL AND PROFESSIONAL LEADERSHIP SKILLS AND LEARN ABOUT ISSUES AFFECTING GREATER AUSTIN. I WILL SERVE AS CO-CHAIR OF THE FUNDRAISING COMMITTEE FOR THE ANNUAL GALA. I*120817 For profit or not for profit: Non-Profit Organization Name of outside business organization: Catch the Next Investment related: N Address of business: Austin, Texas 78752 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 3/4/2019 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: CATCH THE NEXT, INC. is a college readiness and completion organization empowering students to catch their college and career dreams. CTN s Program focuses on creating a culture of evidence and engagement leading to college completion. I*111505 For profit or not for profit: Non-Profit Organization Name of outside business organization: Con Mi MADRE Investment related: Address of business: Austin, Texas 78701 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/15/2018 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be a member of the Sponsorship Committee for the organization's annual fundraiser and gala, Corazon Awards.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 10, 2021 - April 10, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

DALLAS, TX

Past

November 10, 2021 - April 10, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

DALLAS, TX

Past

January 15, 2015 - October 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AUSTIN, TX

Past

January 15, 2015 - October 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

AUSTIN, TX

Past

September 10, 2013 - January 9, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AUSTIN, TX

Past

September 10, 2013 - January 9, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AUSTIN, TX

Past

September 30, 2011 - March 1, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AUSTIN, TX

Past

June 30, 2011 - March 1, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

AUSTIN, TX

Past

November 5, 2010 - April 25, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BOSTON, MA

Past

September 18, 2006 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

May 19, 2005 - August 18, 2006

CITIZENS SECURITIES, INC.

CRD#: 39550

BOSTON, MA

Past

January 4, 2005 - May 19, 2005

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

May 3, 2001 - January 22, 2004

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 8, 2000 - April 2, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 14, 2000 - May 4, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 5, 1999 - December 14, 1999

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/29/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/21/2001

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: 8/26/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1998

Investment Company Products/Variable Contracts Representative Examination

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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Advisor Monitoring

Firm Stability Insights

Lillian D. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIZENS SECURITIES, INC.

EATON VANCE DISTRIBUTORS, INC.

GUARDIAN INVESTOR SERVICES LLC

SIGNATOR INVESTORS, INC.

MORGAN STANLEY DW INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/29/2011

Series 63

Date: 9/21/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2011

Series 6

Date: 12/16/1998

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.

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