Scott A. Walker

TRUIST ADVISORY SERVICES

NEW YORK, NY 10001

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CRD#: 3188645

Professional summary

Scott A Walker, who also goes by Scott Arthur Walker, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in New York, New York and TRUIST INVESTMENT SERVICES, INC. located in New York, New York.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Arthur Walker

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.

RENTAL PROPERTY, INV RELATED, EAST MARION, NY, 100% OWNERSHIP WITH SPOUSE, START 1/2/2017, 15 HOURS PER MONTH, ZERO DURING TRADING, WORKING WITH MANAGEMENT COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott A Walker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 18, 2024 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 50 Hudson Yards Fl 69, New York, NY 10001

RIA

CRD#: 283390

NEW YORK, NY

Current

January 18, 2024 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 50 Hudson Yards Fl 69, New York, NY 10001

CRD#: 17499

New York, NY

Past

June 16, 2022 - January 3, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

New York, NY

Past

June 16, 2022 - January 3, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

Past

September 27, 2019 - June 9, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

August 7, 2019 - June 9, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW YORK, NY

Past

October 26, 2011 - July 3, 2019

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

New York, NY

Past

February 22, 2008 - September 20, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MELVILLE, NY

Past

August 6, 2003 - February 22, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WHITE PLAINS, NY

Past

April 17, 2001 - April 10, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

July 24, 2000 - January 18, 2001

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

January 27, 2000 - August 8, 2000

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

April 20, 1999 - January 11, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/18/2024)

Connecticut
(1/18/2024)

Florida
(1/18/2024)

Nevada
(1/18/2024)

New Hampshire
(1/18/2024)

New Jersey
(1/18/2024)

New York
(1/18/2024)

IAR

New York
(1/18/2024)

North Carolina
(1/18/2024)

Ohio
(1/18/2024)

Pennsylvania
(1/18/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/10/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/19/1999

General Securities Representative Examination

SRO Registrations

FINRA

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

Scott A. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott A Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITY NATIONAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITICORP INVESTMENT SERVICES

GILFORD SECURITIES INCORPORATED

SEABOARD SECURITIES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2019

SIE

Date: 10/1/2018

Series 31

Date: 7/10/1999

Series 7

Date: 4/19/1999

FINRA

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.

TRUST BUT VERIFY

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