Paul C. Neal
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.
Paul Collins Gordon Neal was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1999. Paul had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2016 - April 30, 2021
TRUIST ADVISORY SERVICES, INC.
July 1, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
May 2, 2016 - April 30, 2021
TRUIST INVESTMENT SERVICES, INC.
March 20, 2008 - October 1, 2015
TRUIST INVESTMENT SERVICES, INC.
July 18, 2007 - October 1, 2015
TRUIST INVESTMENT SERVICES, INC.
August 24, 2001 - April 29, 2004
A.J. PACE & CO., INC.
February 15, 1999 - August 29, 2001
TD AMERITRADE, INC.
January 15, 1999 - February 4, 1999
A.J. PACE & CO., 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.
