Michael A. Pfauth
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.
Michael Alan Pfauth, who also goes by Michael Pfauth, Mike Pfauth, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 6 firms and has passed the Series 66, 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
September 13, 2016 - March 21, 2022
TRUIST ADVISORY SERVICES, INC.
March 4, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 4, 2015 - March 21, 2022
TRUIST INVESTMENT SERVICES, INC.
February 14, 2012 - February 25, 2015
BB&T INVESTMENT SERVICES, INC.
February 14, 2012 - February 25, 2015
BB&T INVESTMENT SERVICES, INC.
September 7, 2011 - February 14, 2012
PRINCIPAL SECURITIES, INC.
September 1, 2011 - February 14, 2012
PRINCIPAL SECURITIES, INC.
August 19, 2011 - August 25, 2011
SIGNATOR INVESTORS, INC.
May 6, 2009 - August 23, 2011
EDWARD JONES
April 13, 2009 - August 23, 2011
EDWARD JONES
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.
