Truitt S. Ficklin
Professional summary
Truitt Scott Ficklin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Truitt is a previously registered financial professional and started their career in finance in 2013. Prior to being barred, Truitt had worked at 3 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - August 23, 2017
CETERA INVESTMENT ADVISERS LLC
April 13, 2015 - August 23, 2017
CETERA INVESTMENT SERVICES LLC
April 7, 2014 - March 26, 2015
EDWARD JONES
December 23, 2013 - March 26, 2015
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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