Evan J. Farrell
Professional summary
Evan James Farrell is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Boca Raton, Florida and TRUIST INVESTMENT SERVICES, INC. located in Boca Raton, Florida.
Evan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Evan has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Evan James Farrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1 Town Center Rd, Boca Raton, FL 33486January 16, 2015 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1 Town Center Rd Ste 200, Boca Raton, FL 33486January 20, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 16, 2009 - January 20, 2015
OPPENHEIMER & CO. INC.
March 10, 2009 - January 20, 2015
OPPENHEIMER & CO. INC.
August 21, 2006 - March 11, 2009
STANFORD GROUP COMPANY
August 18, 2006 - March 11, 2009
STANFORD GROUP COMPANY
October 1, 2000 - August 22, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - August 22, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 29, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 28, 1995 - April 20, 2000
UBS FINANCIAL SERVICES INC.
April 12, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
June 4, 1990 - April 8, 1994
UBS FINANCIAL SERVICES INC.
February 2, 1989 - February 24, 1989
F.D. ROBERTS SECURITIES, INC.
December 16, 1988 - February 9, 1989
MARSHALL DAVIS, INC.
October 14, 1988 - January 3, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
August 23, 1988 - February 24, 1989
F.D. ROBERTS 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
(1/16/2015)
(5/21/2021)
(4/19/2023)
(3/2/2023)
(1/20/2015)
(9/1/2016)
(1/26/2015)
(1/20/2015)
(10/25/2022)
(1/21/2015)
(1/23/2015)
(2/2/2015)
(1/20/2015)
(6/21/2022)
(1/21/2015)
(1/22/2015)
(1/23/2015)
(1/21/2015)
(1/21/2015)
(1/16/2015)
(3/13/2017)
(2/18/2020)
Exams
FINRA
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Boca Raton, FL 33486TRUST BUT VERIFY
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