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Thomas William Pfaff

Truist Advisory Services, Inc.

Waxhaw, NC

CRD 6225284

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Employer firm

Truist Advisory Services, Inc. CRD 283390

$77.4B regulatory AUM 509 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters
  • WRAP FEE PRODUCT AND FINANCIAL PROFILING SERVICES USING DESKTOP SOFTWARE

From the firm’s Form ADV. Read the guides:

Current Employers
Truist Advisory Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-15
NC RA APPROVED 2021-02-17
  • TX RA
    APPROVED_RES
    Since 2021-04-15
  • NC RA
    APPROVED
    Since 2021-02-17

Branch Locations

8109 Kensington Dr, Waxhaw, NC 28173 • 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
Bb&T Investments Charlotte NC 11/2015 02/2021
Bb&T Securities, Llc Charlotte NC 01/2018 02/2021
Truist Investment Services, Inc. Charlotte NC 02/2021 Present
Truist Advisory Services, Inc. Atlanta GA 02/2021 Present
  • 11/2015 → 02/2021
    Bb&T Investments
    Charlotte, NC
  • 01/2018 → 02/2021
    Bb&T Securities, Llc
    Charlotte, NC
  • 02/2021 → Present
    Truist Investment Services, Inc.
    Charlotte, NC
  • 02/2021 → Present
    Truist Advisory Services, Inc.
    Atlanta, GA
Previous Registrations
  • 2018-01-02 → 2021-02-17
    Bb&T Securities, Llc
    Indian Trail, NC
    Charlotte, NC
    Pineville, NC
    Charlotte, NC
    Salisbury, NC
    Charlotte, NC
    Matthews, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Richmond, VA
  • 2015-08-24 → 2018-01-02
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-21
S63 Uniform Securities Agent State Law Examination 2014-04-18
  • S65 Uniform Investment Adviser Law Examination
    2015-08-21
  • S63 Uniform Securities Agent State Law Examination
    2014-04-18
Other Names
  • Thomas Pfaff

View on SEC IAPD

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