William A. Lupi

TRUIST ADVISORY SERVICES

CARLISLE, PA 17013

Some features on this profile are disabled

CRD#: 4564555

Professional summary

William Alan Lupi, who also goes by Bill Lupi, William Lupi, William A Lupi, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Carlisle, Pennsylvania and TRUIST INVESTMENT SERVICES, INC. located in Carlisle, Pennsylvania.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. William has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Lupi | William Lupi | William A Lupi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Alan Lupi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 16, 2020 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 330 York Rd Fl 1, Carlisle, PA 17013

RIA

CRD#: 283390

CARLISLE, PA

Current

October 16, 2020 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 330 York Rd Fl 1, Carlisle, PA 17013Office #2: 1570 Manheim Pike Fl 1, Lancaster, PA 17601

CRD#: 17499

Carlisle, PA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

September 18, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

HERSHEY, PA

Past

September 18, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

HERSHEY, PA

Past

May 15, 2015 - July 25, 2017

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CAMP HILL, PA

Past

April 7, 2015 - July 25, 2017

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CAMP HILL, PA

Past

April 9, 2010 - October 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CAMPHILL, PA

Past

April 9, 2010 - October 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CAMPHILL, PA

Past

February 8, 2005 - February 17, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HARRISBURG, PA

Past

October 15, 2002 - February 17, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HARRISBURG, PA

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".

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.

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

Delaware
(1/18/2022)

Maryland
(1/18/2022)

New Jersey
(1/18/2022)

IAR

Pennsylvania
(10/16/2020)

Pennsylvania
(10/30/2020)

West Virginia
(1/18/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/14/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Similar Advisors

Robert Meyers

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Frankfort, IL

Donald Frost

ALLSTATE FINANCIAL SERVICES, LLC

Placentia, CA

Richard Cox

OSAIC WEALTH, INC.

IAR

CHATTANOOGA, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William A. Lupi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Alan Lupi's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2015

Series 65

Date: 2/1/2005

Series 63

Date: 10/18/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/7/2015

Series 6

Date: 10/14/2002

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors