David W. Simmons
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.
David Wayne Simmons, who also goes by David Wayne Simmons N/a, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2016 - December 15, 2023
TRUIST ADVISORY SERVICES, INC.
March 19, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 18, 2014 - December 15, 2023
TRUIST INVESTMENT SERVICES, INC.
March 23, 2011 - January 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2011 - January 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - October 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 18, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 30, 1998 - October 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, 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
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.
