CB
Carla P. Brown
TRUIST ADVISORY SERVICES
ATLANTA, GA 30326
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CRD#: 1640756
CB
Professional summary
Carla Patrice Brown is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Atlanta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Atlanta, Georgia.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Carla has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NEXREP POSITION: Customer Service Agent NATURE: NexRep is a business process outsourcing provider with a broad network of agents creating customer experiences through customer care, inbound sales, and outbound sales. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 07/18/2022 ADDRESS: , Portland ME , United States DESCRIPTION: Take inbound calls only from customers via a script and answer questions as necessary
CRS (Client Relationship Summary) - RIA
Click below to view Carla Patrice Brown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 20, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 3630 Peachtree Rd, Ne Ste 250, Atlanta, GA 30326RIA
CRD#: 283390
ATLANTA, GA
Current
January 27, 2016 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 3630 Peachtree Rd, Ne Ste 250, Atlanta, GA 30326BD
CRD#: 17499
ATLANTA, GA
Past
May 5, 2011 - November 13, 2015
JEFFERIES LLC
BD
CRD#: 2347
ATLANTA, GA
Past
October 16, 2008 - April 25, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
October 14, 2003 - September 15, 2008
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
October 14, 2003 - September 15, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ATLANTA, GA
Past
January 21, 2003 - October 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALPHARETTA, GA
Past
June 6, 2002 - October 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 10, 1996 - May 24, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 27, 1996 - July 25, 1996
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/7/2016)
RR
Alaska(4/19/2021)
RR
Arizona(4/21/2021)
RR
Arkansas(5/6/2021)
RR
California(1/27/2016)
RR
Colorado(2/11/2016)
RR
Connecticut(4/14/2021)
RR
Delaware(2/15/2016)
RR
District of Columbia(2/6/2018)
RR
Florida(2/1/2016)
RR
Georgia(2/10/2016)
RR
Hawaii(5/14/2021)
RR
Idaho(9/6/2019)
RR
Illinois(4/21/2021)
RR
Indiana(4/19/2021)
RR
Iowa(4/15/2021)
RR
Kansas(4/16/2021)
RR
Kentucky(2/1/2016)
RR
Louisiana(4/19/2021)
RR
Maine(4/14/2021)
RR
Maryland(6/22/2021)
RR
Massachusetts(1/29/2016)
RR
Michigan(7/29/2021)
RR
Minnesota(4/14/2021)
RR
Mississippi(4/15/2021)
RR
Missouri(4/30/2021)
RR
Montana(4/14/2021)
RR
Nebraska(4/20/2021)
RR
Nevada(2/17/2016)
RR
New Hampshire(7/7/2021)
RR
New Jersey(2/17/2016)
RR
New Mexico(4/14/2021)
RR
New York(12/21/2021)
RR
North Carolina(1/27/2016)
RR
North Dakota(4/19/2021)
RR
Ohio(4/14/2021)
RR
Oklahoma(2/11/2016)
RR
Oregon(11/29/2021)
RR
Pennsylvania(2/22/2018)
RR
Puerto Rico(4/19/2021)
RR
Rhode Island(4/16/2021)
RR
South Carolina(2/19/2016)
RR
South Dakota(4/29/2021)
RR
Tennessee(2/11/2016)
RR
Texas(2/3/2016)
IAR
Texas(6/20/2022)
RR
Utah(4/15/2021)
RR
Vermont(4/14/2021)
RR
Virgin Islands(4/14/2021)
RR
Virginia(1/27/2016)
RR
Washington(5/17/2021)
RR
West Virginia(6/28/2021)
RR
Wisconsin(4/14/2021)
RR
Wyoming(4/19/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
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.
