Robert A. Paterson
Professional summary
Robert A Paterson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 2011. Prior to being barred, Robert had worked at 8 firms, which includes TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., BB&T SECURITIES LLC, BB&T INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MSI FINANCIAL SERVICES INC., SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - May 14, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - May 3, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
February 12, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 11, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 7, 2013 - November 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2013 - November 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2012 - June 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2012 - June 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2011 - January 27, 2012
MSI FINANCIAL SERVICES, INC.
January 20, 2011 - August 15, 2011
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
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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
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