PR
Philip H. Rothstein
TRUIST ADVISORY SERVICES
RALEIGH, NC 27612
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CRD#: 4768844
PR
Professional summary
Philip Harrison Rothstein, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Raleigh, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Raleigh, North Carolina.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Philip has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Harrison Rothstein'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®
CFP®
Start date: 2009
Experience
Current
February 17, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 3605 Glenwood Ave, Raleigh, NC 27612RIA
CRD#: 283390
RALEIGH, NC
Current
February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 3605 Glenwood Ave Ste 400, Raleigh, NC 27612BD
CRD#: 17499
Raleigh, NC
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
BD
CRD#: 142785
RICHMOND, VA
Past
October 25, 2005 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
RALEIGH, NC
Past
October 25, 2005 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
RALEIGH, NC
Past
January 18, 2005 - October 20, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
August 20, 2004 - January 7, 2005
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
RALEIGH, NC
Past
June 25, 2004 - January 7, 2005
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, 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
Alabama(1/23/2024)
RR
Alaska(5/22/2024)
RR
Arizona(1/23/2024)
RR
Arkansas(1/23/2024)
RR
California(1/23/2024)
RR
Colorado(1/23/2024)
RR
Connecticut(1/23/2024)
RR
Delaware(12/18/2025)
RR
District of Columbia(1/23/2024)
RR
Florida(1/23/2024)
RR
Georgia(1/23/2024)
RR
Hawaii(12/18/2025)
RR
Idaho(12/18/2025)
RR
Illinois(1/23/2024)
RR
Indiana(1/23/2024)
RR
Iowa(1/23/2024)
RR
Kansas(1/23/2024)
RR
Kentucky(1/23/2024)
RR
Louisiana(1/23/2024)
IAR
Louisiana(6/12/2024)
RR
Maine(1/23/2024)
RR
Maryland(1/23/2024)
RR
Massachusetts(1/23/2024)
RR
Michigan(1/23/2024)
RR
Minnesota(1/23/2024)
RR
Mississippi(1/23/2024)
RR
Missouri(1/23/2024)
RR
Montana(1/23/2024)
RR
Nebraska(12/18/2025)
RR
Nevada(12/18/2025)
RR
New Hampshire(1/23/2024)
RR
New Jersey(1/23/2024)
RR
New Mexico(8/26/2024)
RR
New York(1/23/2024)
RR
North Carolina(2/17/2021)
IAR
North Carolina(2/17/2021)
RR
North Dakota(12/18/2025)
RR
Ohio(1/23/2024)
RR
Oklahoma(1/23/2024)
RR
Oregon(1/23/2024)
RR
Pennsylvania(1/23/2024)
RR
Puerto Rico(12/18/2025)
RR
Rhode Island(1/23/2024)
RR
South Carolina(2/17/2021)
RR
South Dakota(1/23/2024)
RR
Tennessee(1/23/2024)
RR
Texas(1/23/2024)
IAR
Texas(6/4/2024)
RR
Utah(3/15/2024)
RR
Vermont(12/18/2025)
RR
Virgin Islands(12/18/2025)
RR
Virginia(2/17/2021)
RR
Washington(1/23/2024)
RR
West Virginia(1/23/2024)
Exams
State Security Law Exam
General 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)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#: 283390Raleigh, NC 27612TRUST BUT VERIFY
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