Warren J. Thomas
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.
Warren Joseph Thomas III, who also goes by Warren Joseph Thomas, Joe Warren, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1999. Warren had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - September 30, 2021
TRUIST ADVISORY SERVICES, INC.
January 10, 2006 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 3, 2006 - September 30, 2021
TRUIST INVESTMENT SERVICES, INC.
May 4, 2004 - November 23, 2005
OSAIC FA, INC.
April 13, 2004 - November 23, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 13, 2004 - November 23, 2005
OSAIC FA, INC.
March 26, 2003 - January 6, 2004
OSAIC FA, INC.
February 21, 2001 - January 6, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 2, 1999 - January 6, 2004
OSAIC FA, 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
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationCurrent 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.
