Kathleen Bernatzky
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.
Kathleen Bernatzky, who also goes by Kathleen Krysinski, Kathleen Krysinski Lake, Kathleen Lake, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1988. Kathleen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - June 7, 2024
TRUIST ADVISORY SERVICES, INC.
October 28, 2008 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 13, 2008 - June 7, 2024
TRUIST INVESTMENT SERVICES, INC.
January 3, 2006 - April 17, 2008
E*TRADE SECURITIES LLC
December 31, 2001 - December 31, 2005
HARRISDIRECT LLC
November 16, 1999 - December 31, 2005
HARRISDIRECT LLC
January 16, 1998 - August 27, 1999
J.J.B. HILLIARD, W.L. LYONS, LLC
October 2, 1995 - June 6, 1996
UBS FINANCIAL SERVICES INC.
April 20, 1994 - June 22, 1995
UBS FINANCIAL SERVICES INC.
May 23, 1990 - March 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1989 - May 21, 1990
CITIGROUP GLOBAL MARKETS INC.
October 19, 1988 - December 19, 1988
WACHOVIA SECURITIES, INC.
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.
