TRUIST ADVISORY SERVICES, INC. of ATLANTA, GA is an SEC-registered investment adviser (CRD 283390). Regulatory assets under management: $77.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations, Other.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Susan Hechtlinger | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | Mooresville, NC |
| Brian Sean Dowhower | CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD, PRESIDENT AND CEO | — |
| Tonya Tyson | ASSISTANT SECRETARY, CHIEF OPERATIONS OFFICER, SENIOR VICE PRESIDENT; DIRECTOR, ASSISTANT SECRETARY, CHIEF OPERATIONS OFFICER, SENIOR VICE PRESIDENT | — |
| Bryan Scott Cram | DIRECTOR, VICE CHAIRMAN, EXECUTIVE VICE PRESIDENT; PRESIDENT, CHIEF EXECUTIVE OFFICER AND VICE CHAIRMAN | — |
| Keith Joseph Lerner | CHIEF INVESTMENT OFFICER; CO-CHIEF INVESTMENT OFFICER | — |
| Leah Rowe Wehinger | DIRECTOR, EXECUTIVE VICE PRESIDENT, HEAD OF INVESTMENT ADVICE AND SOLUTIONS | — |
| Jeffrey Todd Dunn | DIRECTOR, EXECUTIVE VICE PRESIDENT | — |
| Cecilia Baute Mavico | CHIEF OPERATING OFFICER; SECRETARY, CHIEF OPERATING OFFICER, SENIOR VICE CHAIRMAN | — |
| Scott Kent Stearsman | DIRECTOR | — |
| Patricia Reed Centeno | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | — |
| Dorothy Oscarlyn Elder | CO-CHIEF INVESTMENT OFFICER | — |
| Joseph M Thompson | DIRECTOR | — |
| CRAM BRYAN SCOTT | DIRECTOR, EXECUTIVE VICE PRESIDENT, VICE CHAIRMAN; DIRECTOR, VICE CHAIRMAN, EXECUTIVE VICE PRESIDENT | — |
| HECHTLINGER SUSAN J | DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| HATTINK WILLEM-JAU ODO | DIRECTOR | — |
| BOWDEN THEODORE IRVING | DIRECTOR, CHIEF OPERATING OFFICER | — |
| THOMPSON DAVID M | DIRECTOR | — |
| HENNESSY NEIL JOSEPH | TREASURER AND CFO | — |
| CARROLL THOMAS MCLEMORE | DIRECTOR | — |
| DAWAL ERNEST NICHOLAS | DIRECTOR; DIRECTOR, CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT | — |
| RICH SARAH DODGE | CHIEF FINANCIAL OFFICER; TREASURER AND CFO | — |
| DUKES LAURA ALLISON | DIRECTOR | — |
| MILLIGAN JOHN HARRIS | CHIEF OPERATIONS OFFICER, ASSISTANT SECRETARY | — |
| THOMPSON JOSEPH MARBERRY | CHAIRMAN OF THE BOARD, PRESIDENT, CEO | — |
| SOLIS KENNETH RENE | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-14 | regulatory | THE SEC'S FINDINGS, INFORMED BY THE SELF-DISCLOSURE OF [TSI/TIS] AND ITS CONTROL AFFILIATES [TIS/TSI] AND TAS (COLLECTIVELY, "TRUIST"), INCLUDED THAT CERTAIN TRUIST EMPLOYEES COMMUNICATED ABOUT TRUIST'S BROKER DEALER AND INVESTMENT ADVISOR BUSINESSES USING UNAPPROVED, OFF-CHANNEL METHODS, INCLUDING… | Final | $3.0M |
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED, IN CONNECTION WITH THE INVESTMENT ADVISER AND BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT TRUIST ADVISORY SERVICES, INC. ("TAS"), TRUIST INVESTMENT SERVICES, INC. ("TIS"), AND TRUIST SECURITIES, INC. ("TSI") (COLLECTIVELY, "TRUIST… | Final | $5.5M |
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