Best Investors Account Sign in

John William Swindell

Truist Advisory Services, Inc.

Raleigh, NC

Claim This Profile
Current Employers
Truist Advisory Services, Inc.

303 Peachtree Street 2Nd Floor, Atlanta, GA 30303 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-11-18
  • NC RA
    APPROVED
    Since 2022-11-18

Branch Locations

434 Fayetteville St Fl 4, Raleigh, NC 27601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Citizens Investor Services Raleigh NC 07/2016 04/2020
First Citizens Bank Greensboro NC 04/2020 11/2022
First Citizens Investor Services Raleigh NC 04/2020 11/2022
Truist Advisory Services Inc. Raleigh NC 11/2022 Present
Truist Investment Services Inc. Raleigh NC 11/2022 Present
  • 07/2016 → 04/2020
    First Citizens Investor Services
    Raleigh, NC
  • 04/2020 → 11/2022
    First Citizens Bank
    Greensboro, NC
  • 04/2020 → 11/2022
    First Citizens Investor Services
    Raleigh, NC
  • 11/2022 → Present
    Truist Advisory Services Inc.
    Raleigh, NC
  • 11/2022 → Present
    Truist Investment Services Inc.
    Raleigh, NC
Previous Registrations
  • 2016-07-13 → 2022-10-31
    First Citizens Investor Services, Inc.
    Raleigh, NC
    Greensboro, NC
  • 2010-05-27 → 2016-07-07
    Wells Fargo Clearing Services, Llc
    Fort Lauderdale, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
  • 2005-02-04 → 2009-12-23
    Wells Fargo Investments, Llc
    Santa Barbara, CA
    Los Angeles, CA
    Los Angeles, CA
    Beverly Hills, CA
    Montecito, CA
    Santa Barbara, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-01
  • S66 Uniform Combined State Law Examination
    2005-02-01
Other Names
  • John W Swindell
  • John William Swindell
  • John William Swindell

View on SEC IAPD

Other Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

More in Raleigh, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor