Carroll D. Swenson
Professional summary
Carroll David Swenson is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Richmond, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.
Carroll is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Carroll has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 12, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carroll David Swenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 919 E Main St Fl 8, Richmond, VA 23219August 29, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 919 E Main St Fl 8, Richmond, VA 23219October 1, 2000 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 18, 2000 - September 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2000 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 16, 1990 - February 17, 1998
BOWLES HOLLOWELL CONNER & CO.
June 9, 1989 - January 30, 1990
INVEST FINANCIAL CORPORATION
September 24, 1985 - June 16, 1989
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
(8/29/2022)
(8/29/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 12
Date: 8/31/2000
NYSE Branch Manager ExaminationFINRA
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
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Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Richmond, VA 23219TRUST BUT VERIFY
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