Pratt D. Phillips
Professional summary
Pratt Dashiell Phillips IV, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Alpharetta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Alpharetta, Georgia.
Pratt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Pratt has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Pratt Dashiell Phillips IV's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017
Experience
September 19, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2520 Northwinds Pkway Fl 4, Alpharetta, GA 30009October 21, 2009 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009October 22, 2009 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 19, 2003 - October 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 13, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 13, 1999 - October 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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
(1/18/2019)
(11/17/2025)
(9/24/2019)
(11/17/2025)
(1/11/2024)
(4/25/2025)
(12/6/2024)
(12/12/2012)
(10/21/2009)
(9/19/2016)
(1/10/2024)
(11/17/2025)
(8/21/2018)
(11/17/2025)
(9/4/2015)
(10/31/2023)
(4/15/2021)
(6/9/2025)
(8/17/2017)
(2/8/2012)
(1/19/2025)
(1/4/2023)
(1/10/2024)
(9/18/2025)
(9/18/2025)
(9/4/2025)
(11/17/2025)
(1/23/2012)
(5/22/2019)
(10/14/2019)
(7/11/2018)
(1/10/2024)
(10/12/2010)
(4/26/2012)
(6/13/2013)
(3/14/2017)
(7/31/2024)
(11/17/2025)
(7/27/2016)
(12/26/2023)
Exams
FINRA
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.
