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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

JAMES MARK APPLEBY

Advisor at TRUIST ADVISORY SERVICES, INC.

CARY, NC

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Search this name across graphsid dfx:ria:d1474489-cb06-2fc2-4f25-4e7e9dd06a1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TRUIST ADVISORY SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 15, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 15, 2004
First registration: Aug 18, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4541094

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 17, 2021	n/a	yes	CARY, NC	Current employment
BB&T SECURITIES, LLC	Former SEC adviser	Jan 2, 2018	Feb 17, 2021	no	CHARLOTTE, NC\|CARY, NC\|RALEIGH, NC\|SELMA, NC\|PRINCETON, NC\|CLAYTON, NC\|SMITHFIELD, NC\|GARNER, NC\|RALEIGH, NC\|CLAYTON, NC\|GARNER, NC\|WINSTON-SALEM, NC\|RICHMOND, VA	Previous registration
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Jan 21, 2010	Jan 2, 2018	no	CARY, NC\|CARY, NC\|CARY, NC\|CARY, NC\|CARY, NC\|CHARLOTTE, NC\|CARY, NC\|RALEIGH, NC\|SELMA, NC\|PRINCETON, NC\|CLAYTON, NC\|SMITHFIELD, NC\|GARNER, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	May 22, 2007	Jan 19, 2010	no	DURHAM, NC\|RALEIGH, NC	Previous registration
MORGAN STANLEY DW INC.	n/a	May 4, 2006	Nov 15, 2006	no	RALEIGH, NC	Previous registration
CAPITAL INVESTMENT COUNSEL INC	Independent wealth	Aug 18, 2004	Sep 30, 2005	no	RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BB&T SECURITIES, LLC	TRUIST ADVISORY SERVICES, INC.	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
BB&T INVESTMENT SERVICES, INC.	BB&T SECURITIES, LLC	Jan 2, 2018	Jan 2, 2018	0	Bulk transfer	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	BB&T INVESTMENT SERVICES, INC.	Jan 19, 2010	Jan 21, 2010	2	Firm change	Other
MORGAN STANLEY DW INC.	FIRST CITIZENS INVESTOR SERVICES, INC.	Nov 15, 2006	May 22, 2007	188	Firm change	Other
CAPITAL INVESTMENT COUNSEL INC	MORGAN STANLEY DW INC.	Sep 30, 2005	May 4, 2006	216	Firm change	Other

Relationships

Registered with (6)

→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: current employment
Feb 17, 2021 to presentfactForm ADV
→ BB&T SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 2, 2018 to Feb 17, 2021factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 21, 2010 to Jan 2, 2018factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
May 22, 2007 to Jan 19, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 4, 2006 to Nov 15, 2006factForm ADV
→ CAPITAL INVESTMENT COUNSEL INCRegistered adviserregistration: previous registration
Aug 18, 2004 to Sep 30, 2005factForm ADV

Dated events

No dated event names this entity yet.