JT
John A. Thomas
TRUIST ADVISORY SERVICES
CLAYTON, NC 27520
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CRD#: 4221881
JT
Professional summary
John Arnold Thomas III is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Clayton, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Clayton, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE and Series 6 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.
NETWORKING INC POSITION: Treasurer NATURE: Business networking group that meets 2 times per month to share leads and help each other generate business in the local community as well as discussions and educational topics related to growing businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 11/28/2017 ADDRESS: Wendell NC, United States DESCRIPTION: I serve as treasurer and my responsibilities are to invoice and collect dues and deposit into bank account as well as dues and membership recording keeping.
CRS (Client Relationship Summary) - RIA
Click below to view John Arnold Thomas III'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®
NoneExperience
Current
September 6, 2023 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 11508 Us 70 Business Highway W, Clayton, NC 27520RIA
CRD#: 283390
CLAYTON, NC
Current
May 12, 2023 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 11508 Us 70 Business, Clayton, NC 27520Office #2: 200 Pine St W, Wilson, NC 27893BD
CRD#: 17499
CLAYTON, NC
Past
October 26, 2001 - July 24, 2003
JBS LIBERTY SECURITIES, INC.
BD
CRD#: 36179
KANNAPOLIS, NC
Past
October 1, 2000 - August 15, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 15, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
TA
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.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
North Carolina(9/5/2023)
IAR
North Carolina(9/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/12/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/11/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
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)Upgrade to AdvisorCheck Premium
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Clayton, NC 27520TRUST BUT VERIFY
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