Frank S. Pittman
Professional summary
Frank S Pittman IV, CFP®, CPWA®, who also goes by Frank Smith Pittman IV, Frank Smith Pittman, Frank Smith Pittman Iv, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Atlanta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Atlanta, Georgia.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Frank has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank S Pittman IV's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020-08-10
Expire date: 2024-07-31
Experience
December 5, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339December 1, 2017 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 740 Battery Ave, Se Ste 8500, Atlanta, GA 30339October 23, 2009 - December 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - December 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1999 - October 10, 2003
CITIGROUP GLOBAL MARKETS 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
(4/10/2023)
(11/19/2021)
(12/6/2017)
(12/4/2017)
(12/7/2017)
(4/11/2025)
(12/4/2017)
(12/5/2017)
(12/5/2017)
(6/20/2019)
(12/7/2017)
(4/26/2022)
(7/17/2018)
(8/8/2018)
(12/4/2017)
(7/24/2019)
(1/28/2020)
(9/15/2025)
(10/7/2020)
(4/30/2019)
(12/4/2017)
(6/3/2024)
(12/13/2017)
(2/2/2022)
(12/4/2017)
(3/9/2018)
(9/13/2021)
(7/10/2024)
(12/6/2017)
(4/9/2024)
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
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.
