NG
Nicholas A. Griffiths
TRUIST ADVISORY SERVICES
SHAMOKIN, PA 17872
Some features on this profile are disabled
CRD#: 5011027
NG
Professional summary
Nicholas Anthony Griffiths, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Shamokin, Pennsylvania and TRUIST INVESTMENT SERVICES, INC. located in Hershey, Pennsylvania.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 7 firms and has passed the Series 66, SIE, Series 31 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.
SHAMOKIN AREA HIGH SCHOOL FOOTBALL ALUMNI ASSOCIATION POSITION: Board Member NATURE: Asked to join board for local High School football alumni association. They are looking for help and guidance on making the organization run smoothly. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: Shamokin PA, United States DESCRIPTION: My duties will be solely to help provide guidance in how to best allocate association resources.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Anthony Griffiths'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: 2018
Experience
Current
October 19, 2020 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 521 N 2nd Street, Shamokin, PA 17872RIA
CRD#: 283390
SHAMOKIN, PA
Current
October 19, 2020 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 201 W. Chocolate Avenue, Hershey, PA 17033Office #2: 3599 Gettysburg Road, Camp Hill, PA 17011Office #3: 1570 Manheim Pike, Lancaster, PA 17601Office #4: 521 N 2nd Street, Shamokin, PA 17872Office #5: 3000 Shillington Rd, Sinking Spring, PA 19608Office #6: 1100a Berkshire Blvd, Wyomissing, PA 19610Office #7: 21 N 6th St, Reading, PA 19601BD
CRD#: 17499
Hershey, 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
BD
CRD#: 142785
RICHMOND, VA
Past
August 30, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
SUNBURY, PA
Past
August 30, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
SUNBURY, PA
Past
May 14, 2014 - September 6, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LANCASTER, PA
Past
May 7, 2014 - September 6, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LANCASTER, PA
Past
January 23, 2008 - November 5, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MACUNGIE, PA
Past
January 23, 2008 - November 5, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
MACUNGIE, PA
Past
April 25, 2007 - November 9, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
BETHLEHEM, PA
Past
April 25, 2007 - November 9, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
BETHLEHEM, PA
Past
September 28, 2005 - November 9, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALLENTOWN, PA
Past
September 15, 2005 - November 9, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ALLENTOWN, 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".
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(2/17/2021)
RR
Arizona(2/28/2024)
RR
California(2/28/2024)
RR
Colorado(2/28/2024)
RR
Connecticut(2/28/2024)
RR
Delaware(2/28/2024)
RR
District of Columbia(2/28/2024)
RR
Florida(2/17/2021)
RR
Georgia(2/28/2024)
RR
Idaho(2/28/2024)
RR
Illinois(2/28/2024)
RR
Indiana(2/28/2024)
RR
Iowa(3/15/2024)
RR
Kansas(2/28/2024)
RR
Kentucky(2/28/2024)
RR
Louisiana(2/28/2024)
RR
Maine(2/28/2024)
RR
Maryland(8/29/2022)
RR
Massachusetts(2/28/2024)
RR
Michigan(2/28/2024)
RR
Minnesota(2/28/2024)
RR
Missouri(2/28/2024)
RR
Montana(2/28/2024)
RR
Nevada(2/28/2024)
RR
New Hampshire(2/28/2024)
RR
New Jersey(3/19/2021)
RR
New Mexico(2/28/2024)
RR
New York(2/28/2024)
RR
North Carolina(1/7/2022)
RR
Ohio(2/29/2024)
RR
Oregon(2/28/2024)
IAR
Pennsylvania(10/19/2020)
RR
Pennsylvania(10/30/2020)
RR
Rhode Island(2/28/2024)
RR
South Carolina(2/28/2024)
RR
Tennessee(2/28/2024)
RR
Texas(2/28/2024)
IAR
Texas(8/12/2024)
RR
Utah(2/28/2024)
RR
Vermont(2/28/2024)
RR
Virgin Islands(3/15/2024)
RR
Virginia(2/28/2024)
RR
Washington(3/1/2024)
RR
West Virginia(3/15/2024)
RR
Wisconsin(2/28/2024)
Exams
State Security Law Exam
General Industry/Product 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)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)
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Shamokin, PA 17872TRUST BUT VERIFY
Monitor Nicholas Griffiths
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
