James S. Ledoux
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.
James S. Ledoux, who also goes by James S Ledoux, James Stephen Ledoux, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 8 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 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 - March 27, 2024
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - March 27, 2024
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
October 9, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
October 9, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 27, 2015 - October 1, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
February 26, 2015 - October 1, 2015
BBVA SECURITIES INC.
March 25, 2013 - May 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 22, 2010 - May 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2003 - May 11, 2004
AMSOUTH INVESTMENT SERVICES, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
