JS
James R. Shaughnessy
TRUIST ADVISORY SERVICES
CARY, NC 27511
Some features on this profile are disabled
CRD#: 5306994
JS
Professional summary
James Robert Shaughnessy II, who also goes by James Shaughnessy, Jimmy Shaughnessy, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Cary, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Cary, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Shaughnessy | Jimmy Shaughnessy
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 James Robert Shaughnessy II'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®
NoneExperience
Current
August 31, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 924 Kildaire Farm Rd Fl 2, Cary, NC 27511RIA
CRD#: 283390
CARY, NC
Current
June 26, 2007 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 924 Kildaire Farm Rd Fl 2, Cary, NC 27511Office #2: 701 Village Walk Dr, Holly Springs, NC 27540Office #3: 801 E Williams St, Apex, NC 27502Office #4: 1405 N Main St, Fuquay Varina, NC 27526BD
CRD#: 17499
Cary, NC
Past
July 17, 2007 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RALEIGH, NC
Past
March 30, 2007 - May 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DURHAM, 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(8/7/2024)
RR
Arizona(6/4/2015)
RR
California(12/14/2017)
RR
Colorado(1/15/2015)
RR
Connecticut(9/21/2016)
RR
Florida(1/15/2015)
RR
Georgia(8/27/2015)
RR
Indiana(2/8/2023)
RR
Iowa(8/12/2024)
RR
Kansas(7/11/2023)
RR
Maryland(12/2/2014)
RR
Massachusetts(2/14/2019)
RR
Minnesota(1/15/2015)
RR
Missouri(4/6/2020)
RR
Montana(7/19/2024)
RR
Nevada(4/30/2015)
RR
New Hampshire(9/21/2016)
RR
New Jersey(1/11/2024)
RR
New York(2/6/2013)
RR
North Carolina(7/17/2007)
IAR
North Carolina(8/31/2016)
RR
Ohio(5/25/2017)
RR
Pennsylvania(1/15/2015)
RR
Rhode Island(12/13/2021)
IAR
Rhode Island(1/21/2022)
RR
South Carolina(1/15/2015)
RR
Tennessee(1/15/2015)
RR
Texas(1/15/2015)
IAR
Texas(5/25/2021)
RR
Utah(11/3/2023)
RR
Virginia(1/15/2015)
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)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#: 283390Cary, NC 27511TRUST BUT VERIFY
Monitor James Shaughnessy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
