James William Baugh
Financial advisor at Truist Advisory Services, Inc. · Charlotte, NC
Last updated 2026-10-10
Claim your profileJames William Baugh is a financial advisor at Truist Advisory Services, Inc. in Charlotte, NC, CRD 6845686. Licenses and exams on the registration: Series 66. IAPD registration began 2017-12-01.
Registration
- CRD number
- 6845686
- Registration status
- Active
- IAPD registration
- 2017-12-01
- Industry Experience
- 8 years
- Work Experience
- 12 years
- States registered
- NC
Licenses and exams
- Series 66
Work history
- 2017-08 to 2020-09 · Wells Fargo Clearing Services, LLC · Charlotte, NC
- 2013-12 to 2020-09 · Wells Fargo Bank, N.A. · Charlotte, NC
- 2020-10 to 2021-05 · Jpmorgan Chase Bank, N.A. · Charlotte, NC
- 2020-10 to 2021-05 · J.P. Morgan Securities LLC · Charlotte, NC
- 2021-05 to 2025-08 · Wells Fargo Clearing Services, LLC · Charlotte, NC
- 2021-05 to 2025-08 · Wells Fargo Bank, N.A. · Charlotte, NC
- 2025-09 to Present · Truist Investment Services, Inc · Charlotte, NC
- 2025-09 to Present · Truist Advisory Services, Inc · Charlotte, NC
Current employment
- Truist Advisory Services, Inc. · Atlanta, GA
Truist Advisory Services, Inc.
- Regulatory AUM
- $77,391,727,185
- Registered advisors
- 1,972
- Offices
- 923
- Clients per advisor
- 65.6 (Moderate)
- Average AUM per client
- $598.5K (Low)
- High-net-worth client ratio
- 25.2% (Moderate)
Truist Advisory Services, Inc.: advisors, services and reported ETF investments
About
James William Baugh is a financial advisor at Truist Advisory Services, Inc. in Charlotte, NC. Reported securities licenses include Series 66. The latest record indicates 8 years of industry experience and 12 years of reported work history. Reported roles include Truist Investment Services, Inc, Wells Fargo Clearing Services, LLC, Wells Fargo Bank, N.A., Jpmorgan Chase Bank, N.A., among others.
Truist Advisory Services, Inc.'s firm-level Form ADV reports 1,972 advisors across 923 offices; approximately 65.6 clients per advisor, average assets per client of $598,512, and regulatory AUM of $77.4B; client categories including Individuals (non-HNW), High net worth individuals, Banking or thrift institutions, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Selection of Other Advisers, Publication of Periodicals or Newsletters.
What this firm offers
Filed by Truist Advisory Services, Inc. on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Selection of Other Advisers
- Publication of Periodicals or Newsletters
- Other Advisory Service
Fee options
- Percentage of Assets Under Management
- Fixed Fees (Other Than Subscription)
Business and affiliations
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Registered Security-Based Swap Dealer
- Banking or Thrift Institution
- Trust Company
- Insurance Company or Agency
- Sponsor or GP of Pooled Investment Vehicl
Location
2320 Cascade Pointe Blvd, Charlotte, NC 28208
17 advisors at this office.
Contact
The firm's filed contact details.
- Phone: 800-874-4770
- Website: truist.com/wealth/tas-disclosure
Official record
Are you James William Baugh?
Claim your profile to add your biography, services, expertise, client focus, investment approach and fees. Advisor-confirmed information is separate from public SEC records.