Haven R. Shuck
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.
Haven Ray Shuck JR was a registered financial professional .
Haven is a previously registered financial professional and started their career in finance in 1970. Haven had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - July 7, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - July 7, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
November 20, 2012 - February 17, 2021
BB&T SECURITIES, LLC
September 22, 2004 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
September 21, 2004 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
August 27, 1991 - August 27, 2004
UBS FINANCIAL SERVICES INC.
January 31, 1980 - August 27, 2004
UBS FINANCIAL SERVICES INC.
January 28, 1971 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 24, 1970 - February 15, 1971
FI DUPONT GLORE FORGAN & CO
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/1/1967
Registered Representative ExaminationSeries 8
Date: 12/8/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
