Leslie J. Rose
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leslie J Rose, who also goes by Leslie Rose Hoying, Leslie Jane Rose, Leslie Jane Snell, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1985. Leslie had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - September 30, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - September 30, 2021
TRUIST INVESTMENT SERVICES, INC.
April 1, 2019 - February 17, 2021
BB&T SECURITIES, LLC
April 1, 2019 - February 17, 2021
BB&T SECURITIES, LLC
April 16, 2009 - April 26, 2019
AMERITAS INVESTMENT COMPANY, LLC
April 9, 2009 - April 26, 2019
AMERITAS INVESTMENT COMPANY, LLC
March 15, 2004 - April 9, 2009
EQUITY SERVICES, INC.
March 15, 2004 - April 9, 2009
EQUITY SERVICES, INC.
May 31, 2001 - March 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - March 10, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
March 31, 1989 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 27, 1987 - March 31, 1989
FIRST TRYON SECURITIES, INC.
May 23, 1985 - July 9, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
