John W. Swindell
Professional summary
John William Swindell JR, who also goes by John W Swindell, John William Swindell Jr, John William Swindell, 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.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 5 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John William Swindell JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 434 Fayetteville St Fl 4, Raleigh, NC 27601November 18, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 434 Fayetteville St Fl 4, Raleigh, NC 27601July 13, 2016 - October 31, 2022
FIRST CITIZENS INVESTOR SERVICES, INC.
July 12, 2016 - October 31, 2022
FIRST CITIZENS INVESTOR SERVICES, INC.
May 27, 2010 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2010 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2005 - December 23, 2009
WELLS FARGO INVESTMENTS, LLC
August 26, 2004 - December 23, 2009
WELLS FARGO INVESTMENTS, 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
(11/18/2022)
(11/21/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
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Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Raleigh, NC 27601TRUST BUT VERIFY
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