Douglas H. Mcleod
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.
Douglas Haig Mcleod was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 7 firms and has passed the Series 66, Series 63, 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
February 28, 2023 - December 18, 2023
TRUIST ADVISORY SERVICES, INC.
February 16, 2023 - December 18, 2023
TRUIST INVESTMENT SERVICES, INC.
December 1, 2016 - October 13, 2021
TRUIST ADVISORY SERVICES, INC.
August 8, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 4, 2016 - October 13, 2021
TRUIST INVESTMENT SERVICES, INC.
October 2, 2012 - October 1, 2015
TRUIST INVESTMENT SERVICES, INC.
September 17, 2012 - October 1, 2015
TRUIST INVESTMENT SERVICES, INC.
June 22, 2012 - July 25, 2012
INGRAM ADVISORY SERVICES, LLC
April 2, 2012 - July 20, 2012
INVESTORS CAPITAL CORP.
January 20, 2006 - September 5, 2007
MCLEOD FINANCIAL, LLC
January 3, 2005 - March 30, 2005
VALIC FINANCIAL ADVISORS, INC.
November 15, 2004 - March 30, 2005
VALIC FINANCIAL ADVISORS, INC.
August 1, 2000 - September 20, 2004
CHARLES SCHWAB & CO., 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
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.
