William A. Tompkins
Professional summary
William Alexander Tompkins III, who also goes by Bill Tompkins III, William A Tompkins III, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Orlando, Florida and TRUIST INVESTMENT SERVICES, INC. located in Orlando, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 5 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Alexander Tompkins III's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2023 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 333 S Garland Avenue, Orlando, FL 32801November 15, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 333 S Garland Ave Fl 17, Orlando, FL 32801December 10, 2020 - November 3, 2022
PNC CAPITAL MARKETS LLC
June 11, 2010 - July 26, 2012
CHASE INVESTMENT SERVICES CORP.
June 3, 2010 - July 26, 2012
CHASE INVESTMENT SERVICES CORP.
March 5, 2008 - May 17, 2010
NEW ENGLAND SECURITIES
June 19, 2007 - May 17, 2010
NEW ENGLAND SECURITIES
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
(1/23/2023)
(4/27/2023)
(1/23/2023)
Exams
Series 7TO
Date: 12/3/2022
General Securities Representative ExaminationSeries 52TO
Date: 12/10/2020
Municipal Securities 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
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