John D. Galligan

TRUIST ADVISORY SERVICES

TAMPA, FL 33611

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CRD#: 3198536

Professional summary

John Donald Galligan III is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Tampa, Florida and TRUIST INVESTMENT SERVICES, INC. located in Tampa, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 12 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

PINELLAS COUNTY ELECTIONS OFFICE POSITION: Inspector NATURE: Pinellas County Supervisor of Elections Office - poll worker duties. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/23/2022 ADDRESS: Clearwater FL, United States DESCRIPTION: Inspector duties on election day are to verify a voter's ID and confirm they are eligible to vote in their assigned precinct.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Donald Galligan III'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

August 31, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 3825 S Dale Mabry Hwy, Tampa, FL 33611

RIA

CRD#: 283390

TAMPA, FL

Current

June 22, 2015 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 3825 S Dale Mabry Hwy, Tampa, FL 33611

CRD#: 17499

Tampa, FL

Past

June 24, 2015 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

TAMPA, FL

Past

January 28, 2014 - June 29, 2015

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CLEARWATER, FL

Past

January 27, 2014 - June 29, 2015

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CLEARWATER, FL

Past

August 15, 2011 - February 6, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

TAMPA, FL

Past

August 5, 2011 - February 6, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TAMPA, FL

Past

June 1, 2009 - August 15, 2011

MORGAN STANLEY

RIA

CRD#: 149777

LUTZ, FL

Past

June 1, 2009 - August 15, 2011

MORGAN STANLEY

CRD#: 149777

LUTZ, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LUTZ, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LUTZ, FL

Past

January 29, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PORT RICHEY, FL

Past

January 26, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PORT RICHEY, FL

Past

January 31, 2005 - February 12, 2007

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

PALM HARBOR, FL

Past

January 6, 2005 - February 12, 2007

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

PALM HARBOR, FL

Past

July 7, 2004 - January 24, 2005

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

December 23, 1999 - September 20, 2002

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

June 8, 1999 - October 5, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 8, 1999 - October 5, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(2/13/2023)

Arizona
(2/3/2025)

Arkansas
(6/12/2024)

Colorado
(7/9/2020)

Connecticut
(7/8/2015)

District of Columbia
(7/10/2023)

Florida
(6/22/2015)

IAR

Florida
(8/31/2016)

Georgia
(11/6/2019)

Illinois
(6/12/2024)

Iowa
(6/12/2024)

Kentucky
(8/4/2015)

Maine
(6/12/2024)

Maryland
(6/12/2024)

Massachusetts
(8/3/2022)

Michigan
(4/1/2024)

Minnesota
(7/17/2015)

Mississippi
(6/12/2024)

Missouri
(7/31/2019)

Nevada
(5/30/2025)

New Hampshire
(5/16/2019)

New Jersey
(1/18/2019)

New York
(7/17/2015)

North Carolina
(8/8/2016)

Ohio
(6/29/2015)

Pennsylvania
(6/20/2019)

South Carolina
(8/26/2022)

Tennessee
(2/1/2022)

Texas
(3/21/2019)

IAR

Texas
(7/9/2019)

Virginia
(6/29/2015)

Washington
(2/3/2025)

West Virginia
(6/12/2024)

Wisconsin
(2/3/2025)

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 65

Date: 1/28/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/30/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/1999

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

John D. Galligan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Donald Galligan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

PRIME CAPITAL SERVICES, INC.

HARRISDIRECT LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2005

Series 66

Date: 6/30/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/7/1999

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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