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Detailed Report
WILLIAM ALAN LUPI
BILL LUPI, WILLIAM LUPI, William A Lupi
CRD#: 4564555
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 330 YORK RD
FL 1
CARLISLE, PA 17013
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 330 YORK RD
FL 1
CARLISLE, PA 17013
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - 2021 (3 years)2 FIRMS2020 - Present (4 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2002 - 2010 (7 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2005 - 2010 (5 years)
License(s)

State Registrations

B
Delaware 1/18/2022
IA
Pennsylvania 10/16/2020
B
Maryland 1/18/2022
B
Pennsylvania 10/30/2020
B
New Jersey 1/18/2022
B
West Virginia 1/18/2022

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)
330 YORK RD FL 1, CARLISLE, PA 17013
Registered with this firm since 10/16/2020
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
330 YORK RD FL 1, CARLISLE, PA 17013
1570 MANHEIM PIKE FL 1, LANCASTER, PA 17601
Registered with this firm since 10/16/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2018 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
B
 01/02/2018 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) RICHMOND, VA
IA
 09/18/2017 - 01/02/2018 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) HERSHEY, PA
B
 09/18/2017 - 01/02/2018 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) HERSHEY, PA
IA
 05/15/2015 - 07/25/2017 PNC INVESTMENTS (CRD#:129052) CAMP HILL, PA
B
 04/07/2015 - 07/25/2017 PNC INVESTMENTS (CRD#:129052) CAMP HILL, PA
IA
 04/09/2010 - 10/29/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CAMPHILL, PA
B
 04/09/2010 - 10/29/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CAMPHILL, PA
IA
 02/08/2005 - 02/17/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) HARRISBURG, PA
B
 10/15/2002 - 02/17/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) HARRISBURG, PA
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.