Alton R. Lumpkin
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.
Alton Ryan Lumpkin, who also goes by Al Lumpkin, Alton R Lumpkin, Alton Lumpkin, was a registered financial professional .
Alton is a previously registered financial professional and started their career in finance in 2006. Alton had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2021 - February 8, 2023
TRUIST ADVISORY SERVICES, INC.
May 14, 2018 - February 8, 2023
TRUIST INVESTMENT SERVICES, INC.
April 19, 2017 - December 31, 2017
ALLSTATE FINANCIAL SERVICES, LLC
January 25, 2016 - October 27, 2016
STRATEGIC ADVISERS LLC
December 17, 2015 - October 26, 2016
FIDELITY BROKERAGE SERVICES LLC
January 30, 2013 - September 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2011 - September 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2009 - April 13, 2010
E*TRADE SECURITIES LLC
October 22, 2008 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
October 17, 2008 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
January 8, 2008 - October 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2007 - October 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2006 - December 20, 2006
E*TRADE SECURITIES 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
