Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
SUSAN RENEE SEITTER
SUSAN RENEE WILLIAMS
CRD#: 2128550
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 11501 W BROAD ST
HENRICO, VA 23233
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 11501 W BROAD ST
HENRICO, VA 23233
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (1 year)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2016 - Present (8 years)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2011 - Present (13 years)BWATERFORD INVESTOR SERVICES, INC. (CRD# 46227)2010 - 2010 (<1 year)BCOMMUNITY BANKERS SECURITIES, LLC (CRD# 42794)2005 - 2009 (4 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2004 - 2005 (1 year)BDAVENPORT & COMPANY LLC (CRD# 1588)2000 - 2004 (3 years)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2011 - 2016 (5 years)IACBS ADVISORS, LLC (CRD# 134922)2005 - 2010 (4 years)IACOMPASS CAPITAL ASSET MANAGEMENT (CRD# 13787)2005 - 2005 (<1 year)
Disclosure(s)
View By:
9/1/2013
Regulatory
Final
11/10/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arkansas 8/31/2020
IA
Virginia 9/15/2016
B
Virginia 9/22/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
11501 W BROAD ST, HENRICO, VA 23233
Registered with this firm since 9/15/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
11501 W BROAD ST, HENRICO, VA 23233
POWHATAN, VA
Registered with this firm since 9/22/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/22/2011 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) RICHMOND, VA
IA
 02/23/2010 - 09/16/2011 INFINEX INVESTMENTS, INC. (CRD#:35371) MERIDEN, CT
B
 02/23/2010 - 09/16/2011 INFINEX INVESTMENTS, INC. (CRD#:35371) MERIDEN, CT
IA
 09/15/2005 - 02/24/2010 CBS ADVISORS, LLC (CRD#:134922) MIDLOTHIAN, VA
B
 01/04/2010 - 02/24/2010 WATERFORD INVESTOR SERVICES, INC. (CRD#:46227)
FINRA expelled the firm on 12/19/2013
MIDLOTHIAN, VA
B
 06/01/2005 - 12/23/2009 COMMUNITY BANKERS SECURITIES, LLC (CRD#:42794) MIDLOTHIAN, VA
IA
 02/02/2005 - 05/31/2005 COMPASS CAPITAL ASSET MANAGEMENT (CRD#:13787) POWHATAN, VA
B
 02/07/2004 - 05/31/2005 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
 03/28/2000 - 01/16/2004 DAVENPORT & COMPANY LLC (CRD#:1588) RICHMOND, VA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.