Carl K. Perron
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.
Carl Kenneth Perron, who also goes by C. Perron, Carl K Perron, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1993. Carl had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2020 - September 18, 2025
TRUIST ADVISORY SERVICES, INC.
October 8, 2020 - September 18, 2025
TRUIST INVESTMENT SERVICES, INC.
May 16, 2018 - April 1, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2018 - April 1, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2016 - November 22, 2017
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 22, 2017
SIGNATOR INVESTORS, INC.
December 17, 2014 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 12, 2014 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 1, 2009 - December 15, 2014
MORGAN STANLEY
June 1, 2009 - December 15, 2014
MORGAN STANLEY
May 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 24, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 10, 2006 - October 26, 2007
E*TRADE SECURITIES LLC
September 29, 2000 - May 8, 2006
BROWNCO, LLC
February 20, 1998 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
November 7, 1996 - March 15, 1998
J. B. HANAUER & CO.
April 11, 1996 - November 18, 1996
DONALD & CO. SECURITIES INC.
July 21, 1994 - April 4, 1996
JOSEPHTHAL & CO., INC.
October 20, 1993 - January 28, 1994
FIDELITY DISTRIBUTORS CORPORATION
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.
