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Todd Dwain Gauthier

Truist Advisory Services, Inc.

Alpharetta, GA

CRD 1429968

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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
LA RA APPROVED 2018-08-08
TX RA APPROVED_RES 2018-07-12
GA RA APPROVED 2016-08-30
  • LA RA
    APPROVED
    Since 2018-08-08
  • TX RA
    APPROVED_RES
    Since 2018-07-12
  • GA RA
    APPROVED
    Since 2016-08-30

Branch Locations

2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Suntrust Investment Services, Inc. Atlanta GA 01/2009 Present
Suntrust Advisory Services Atlanta GA 08/2016 Present
  • 01/2009 → Present
    Suntrust Investment Services, Inc.
    Atlanta, GA
  • 08/2016 → Present
    Suntrust Advisory Services
    Atlanta, GA
Previous Registrations
  • 2005-06-21 → 2009-01-21
    Atlanta, GA
    Philadelphia, PA
    Milton, GA
    Wilmington, DE
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-20
S63 Uniform Securities Agent State Law Examination 1987-09-10
  • S65 Uniform Investment Adviser Law Examination
    2005-06-20
  • S63 Uniform Securities Agent State Law Examination
    1987-09-10

View on SEC IAPD

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