Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
GEORGE FREDERICK CLAUSSEN III
RICK CLAUSSEN
CRD#: 1583935
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 801 BROAD ST
AUGUSTA, GA 30901
AUGUSTA, GA 30901
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 801 BROAD ST
AUGUSTA, GA 30901
AUGUSTA, GA 30901
View By:
8/2/1995
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 5/19/2015
B
Massachusetts 12/17/2021
B
Arizona 2/7/2012
B
New Jersey 10/16/2013
B
California 10/23/2018
B
North Carolina 11/14/2011
B
Florida 10/2/2012
B
Ohio 12/7/2018
B
Georgia 10/24/2011
B
South Carolina 11/10/2011
IA
Georgia 9/1/2016
B
Tennessee 3/9/2018
B
Louisiana 1/30/2012
B
Texas 10/27/2017
IA
Louisiana 4/13/2017
IA
Texas 11/15/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/1/2016
B
Registered with this firm since 10/20/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/25/2011 - 12/31/2016 | AUGUSTA, GA | |
IA | 03/03/2009 - 10/19/2011 | AUGUSTA, GA | |
B | 02/27/2009 - 10/19/2011 | AUGUSTA, GA | |
IA | 03/07/2003 - 03/17/2009 | AUGUSTA, GA | |
B | 05/03/2001 - 03/17/2009 | AUGUSTA, GA | |
B | 11/21/1986 - 08/20/2001 | CHARLOTTE, NC |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.