Benjamin E. Thompson
Professional summary
Benjamin Edward Thompson is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Mclean, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Mclean, Virginia.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Benjamin has worked at 2 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Edward Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 8200 Greensboro Dr Ste 100a, Mclean, VA 22102February 12, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 8200 Greensboro Dr Fl 10, Mclean, VA 22102Primary 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
(3/7/2022)
(3/7/2022)
Exams
Series 7TO
Date: 2/4/2022
General 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
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.
