JM
John Milligan
TRUIST SECURITIES
RICHMOND, VA 23224
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CRD#: 3206391
JM
Professional summary
John Milligan, CFP®, who also goes by John Harris Milligan, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Richmond, Virginia.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 27, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Harris Milligan
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.
POSITION: OWNER NATURE: PURCHASING A RENTAL PROPERTY TO REPLACE THE PROPERTY WE JUST SOLD. INVESTMENT RELATED: NO NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/31/2015 ADDRESS: , HENRICO VA DESCRIPTION: LIMITED. WE USE A PROPERTY MANAGEMENT COMPANY THAT HANDLES ALL ASPECTS OF THE RENTAL. MILLIGAN POSITION: Owner NATURE: Rental Property7/28/2014 - purchasing 2nd rental property. Both will be managed through a property management company which will all but elimate involvement from my wife or I.7/9/2015 - Selling 1st rental property. I will only have ownership in one rental property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/25/2013 ADDRESS: , Allen VA DESCRIPTION:
CRS (Client Relationship Summary) - BD
Click below to view John Milligan's 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®
Experience
Current
December 12, 2023 - Present
TRUIST SECURITIES, INC.
Office #1: 1001 Semmes Ave Fl 3 & 4, Richmond, VA 23224BD
CRD#: 6271
RICHMOND, VA
Past
December 13, 2019 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
GLEN ALLEN, VA
Past
September 21, 2016 - December 1, 2023
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
RICHMOND, VA
Past
November 27, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
November 27, 2012 - December 1, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
July 28, 2003 - March 20, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CENTREVILLE, VA
Past
August 14, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 14, 1999 - November 12, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CENTREVILLE, VA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/12/2023)
RR
Alaska(12/12/2023)
RR
Arizona(12/12/2023)
RR
Arkansas(12/12/2023)
RR
California(12/12/2023)
RR
Colorado(12/12/2023)
RR
Connecticut(12/12/2023)
RR
Delaware(12/12/2023)
RR
District of Columbia(12/12/2023)
RR
Florida(12/12/2023)
RR
Georgia(12/12/2023)
RR
Hawaii(12/12/2023)
RR
Idaho(12/12/2023)
RR
Illinois(12/12/2023)
RR
Indiana(12/12/2023)
RR
Iowa(12/12/2023)
RR
Kansas(12/12/2023)
RR
Kentucky(12/12/2023)
RR
Louisiana(12/12/2023)
RR
Maine(12/12/2023)
RR
Maryland(12/12/2023)
RR
Massachusetts(12/12/2023)
RR
Michigan(12/12/2023)
RR
Minnesota(12/12/2023)
RR
Mississippi(12/12/2023)
RR
Missouri(12/12/2023)
RR
Montana(12/12/2023)
RR
Nebraska(12/12/2023)
RR
Nevada(12/12/2023)
RR
New Hampshire(12/12/2023)
RR
New Jersey(12/12/2023)
RR
New Mexico(12/12/2023)
RR
New York(12/12/2023)
RR
North Carolina(12/12/2023)
RR
North Dakota(12/12/2023)
RR
Ohio(12/12/2023)
RR
Oklahoma(12/12/2023)
RR
Oregon(12/12/2023)
RR
Pennsylvania(12/13/2023)
RR
Puerto Rico(12/12/2023)
RR
Rhode Island(12/12/2023)
RR
South Carolina(12/12/2023)
RR
South Dakota(12/12/2023)
RR
Tennessee(12/12/2023)
RR
Texas(12/12/2023)
RR
Utah(12/12/2023)
RR
Vermont(12/12/2023)
RR
Virginia(12/12/2023)
RR
Washington(12/12/2023)
RR
West Virginia(12/12/2023)
RR
Wisconsin(12/12/2023)
RR
Wyoming(12/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
Company Information
TRUIST SECURITIES, INC.
CRD#: 6271Richmond, VA 23224TRUST BUT VERIFY
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