Keith S. Holtsclaw
TRUIST ADVISORY SERVICES
HICKORY, NC 28601
Some features on this profile are disabled
CRD#: 5529957
Professional summary
Keith Samuel Holtsclaw JR, CFP®, who also goes by Sam Holtsclaw, Keith Samuel Holtsclaw Jr, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Hickory, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Hickory, North Carolina.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Keith has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Holtsclaw | Keith Samuel Holtsclaw Jr
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.
Name of Outside Business: Lenoir Rhyne University Alumni Board; Investment Related: No; Address of Outside Business: Alumni Board for my Lenoir Rhyne University. The board meets to work on ways in increase alumni activity and engagement with the school.; Nature of Outside Business: Board member/Officer; Position: Trustee; Start Date:8/12/2017; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Trustee - 4 Meetings per year Name of Outside Business: Piedmont Education Fund; Investment Related: No; Address of Outside Business: Hickory, NC; Nature of Outside Business: Board member/Officer; Position: Associate Trustee; Start Date: 8/1/2016; Hours per month: 10-20; Hours per month during securities trading hours: No; Description of Duties: Aide in fund raising for scholarships for Lenoir Rhyne University athletes. HOLTSCLAW SUPPLY CO, LLC POSITION: Partner NATURE: Disposable children's cups & dinnerware. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2024 ADDRESS: Hickory NC, United States DESCRIPTION: Help develop products with engineer. Down the road helping with business development/ sales.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Samuel Holtsclaw JR'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 17, 2018 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 106 2nd St Nw Fl 2, Hickory, NC 28601RIA
CRD#: 283390
HICKORY, NC
Current
October 17, 2018 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 106 2nd St Nw, Hickory, NC 28601BD
CRD#: 17499
Hickory, NC
Past
February 27, 2018 - October 12, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
HICKORY, NC
Past
February 26, 2018 - October 12, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
HICKORY, NC
Past
February 26, 2018 - October 12, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
HICKORY, NC
Past
February 3, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
August 12, 2009 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
HICKORY, 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(4/16/2019)
RR
Arizona(9/2/2025)
RR
California(11/24/2021)
RR
Colorado(9/2/2025)
RR
District of Columbia(9/2/2025)
RR
Florida(11/8/2018)
RR
Georgia(4/16/2019)
RR
Hawaii(9/2/2025)
RR
Illinois(9/2/2025)
RR
Indiana(9/2/2025)
RR
Kentucky(9/2/2025)
RR
Louisiana(9/2/2025)
RR
Maine(9/2/2025)
RR
Maryland(9/2/2025)
RR
Massachusetts(9/2/2025)
RR
Minnesota(9/2/2025)
RR
Mississippi(9/2/2025)
RR
Missouri(9/2/2025)
RR
Montana(9/2/2025)
RR
New Jersey(9/2/2025)
RR
New Mexico(9/2/2025)
RR
New York(9/2/2025)
RR
North Carolina(10/17/2018)
IAR
North Carolina(10/17/2018)
RR
Ohio(9/3/2025)
RR
Oklahoma(9/2/2025)
RR
Oregon(9/2/2025)
RR
Pennsylvania(9/2/2025)
RR
Puerto Rico(10/8/2025)
RR
South Carolina(9/2/2025)
RR
Tennessee(9/2/2025)
RR
Texas(8/16/2022)
RR
Utah(9/2/2025)
RR
Vermont(9/2/2025)
RR
Virginia(9/2/2025)
RR
West Virginia(9/2/2025)
RR
Wisconsin(9/2/2025)
RR
Wyoming(9/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
