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Detailed Report
WILLIAM ALEXANDER TOMPKINS III
BILL TOMPKINS III, WILLIAM A TOMPKINS III
CRD#: 5352387
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 333 S GARLAND AVENUE
ORLANDO, FL 32801
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 333 S GARLAND AVE
FL 17
ORLANDO, FL 32801
Registration History
20082010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2023 - Present (1 year)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2022 - Present (2 years)BPNC CAPITAL MARKETS LLC (CRD# 15647)2020 - 2022 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2007 - 2010 (2 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2008 - 2010 (2 years)
License(s)

State Registrations

B
Florida 1/23/2023
B
Georgia 1/23/2023
IA
Florida 4/27/2023

SRO Registrations

B
 FINRA

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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)
333 S GARLAND AVENUE, ORLANDO, FL 32801
Registered with this firm since 4/27/2023
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
333 S GARLAND AVE FL 17, ORLANDO, FL 32801
Montverde, FL
Registered with this firm since 11/15/2022
Previous Registration(s)
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B
 12/10/2020 - 11/03/2022 PNC CAPITAL MARKETS LLC (CRD#:15647) Orlando, FL
IA
 06/11/2010 - 07/26/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ORLANDO, FL
B
 06/03/2010 - 07/26/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ORLANDO, FL
IA
 03/05/2008 - 05/17/2010 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) ORLANDO, FL
B
 06/19/2007 - 05/17/2010 NEW ENGLAND SECURITIES (CRD#:615) ORLANDO, FL
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.