Richard Thibeault
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.
Richard Thibeault, who also goes by Richard Douglas Thibeault, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 9 firms and has passed the Series 66, SIE, Series 7TO, Series 7, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2022 - April 17, 2025
TRUIST ADVISORY SERVICES, INC.
October 20, 2022 - April 17, 2025
TRUIST INVESTMENT SERVICES, INC.
June 7, 2021 - October 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2021 - October 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2009 - December 9, 2014
CANTOR FITZGERALD & CO.
April 25, 2007 - June 4, 2009
DEUTSCHE BANK SECURITIES INC.
December 12, 2005 - January 9, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 24, 2003 - August 27, 2004
BARRY MURPHY & COMPANY, INC.
June 2, 2003 - September 22, 2003
IDS LIFE INSURANCE COMPANY
June 2, 2003 - September 22, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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: 3/29/2021
General Securities 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.
