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
Thomas Dustin Fluent
CRD#: 2544295
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 2520 NORTHWINDS PKWY
FL 4
ALPHARETTA, GA 30009
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 2520 NORTHWINDS PKWY
FL 4
ALPHARETTA, GA 30009
Registration History
19952000200520102015202020252 FIRMS2019 - 2021 (1 year)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2016 - Present (8 years)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2007 - Present (18 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2007 (6 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (1 year)BPFS INVESTMENTS INC. (CRD# 10111)1994 - 1999 (4 years)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2007 - 2016 (9 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2007 (3 years)
Disclosure(s)
View By:
11/13/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/14/2022
B
Nebraska 3/14/2022
B
Alaska 3/14/2022
B
Nevada 3/14/2022
B
Arizona 3/14/2022
B
New Hampshire 3/14/2022
B
Arkansas 3/14/2022
B
New Jersey 3/14/2022
B
California 3/14/2022
B
New Mexico 3/14/2022
B
Colorado 3/14/2022
B
New York 3/14/2022
B
Connecticut 3/14/2022
B
North Carolina 3/14/2022
B
Delaware 3/14/2022
B
North Dakota 3/14/2022
B
District of Columbia 3/14/2022
B
Ohio 3/15/2022
B
Florida 3/14/2022
B
Oklahoma 3/14/2022
B
Georgia 3/5/2007
B
Oregon 3/14/2022
IA
Georgia 8/30/2016
B
Pennsylvania 3/14/2022
B
Hawaii 3/14/2022
B
Puerto Rico 3/14/2022
B
Idaho 3/14/2022
B
Rhode Island 3/14/2022
B
Illinois 3/14/2022
B
South Carolina 3/14/2022
B
Indiana 3/14/2022
B
South Dakota 3/14/2022
B
Iowa 3/14/2022
B
Tennessee 3/14/2022
B
Kansas 3/14/2022
IA
Texas 4/13/2021
B
Kentucky 3/14/2022
B
Texas 3/14/2022
B
Louisiana 3/14/2022
B
Utah 3/14/2022
B
Maine 3/14/2022
B
Vermont 3/14/2022
B
Maryland 3/14/2022
B
Virgin Islands 3/14/2022
B
Massachusetts 3/14/2022
B
Virginia 3/14/2022
B
Michigan 3/14/2022
B
Washington 3/14/2022
B
Minnesota 3/14/2022
B
West Virginia 3/14/2022
B
Mississippi 3/14/2022
B
Wisconsin 3/14/2022
B
Missouri 3/14/2022
B
Wyoming 3/14/2022
B
Montana 3/14/2022

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)
2520 NORTHWINDS PKWY FL 4, ALPHARETTA, GA 30009
Registered with this firm since 8/30/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
2520 NORTHWINDS PKWY FL 4, ALPHARETTA, GA 30009
MILTON, GA
Registered with this firm since 3/5/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/23/2019 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
B
 12/09/2019 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
IA
 03/09/2007 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ALPHARETTA, GA
IA
 04/22/2003 - 02/21/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) ATLANTA, GA
B
 10/01/2000 - 02/21/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) ATLANTA, GA
B
 09/17/1999 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 10/27/1994 - 08/24/1999 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
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.