TR
Tracy B. Rosson
TRUIST ADVISORY SERVICES
RICHMOND, VA 23219
Some features on this profile are disabled
CRD#: 2078798
TR
Professional summary
Tracy Brooks Rosson, who also goes by Tracy Brooks Bliley Mrs, Tracy Brooks Bliley, Tracy Lynn Brooks Miss, Tracy Brooks Rosson Mrs, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Richmond, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tracy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Brooks Bliley Mrs | Tracy Brooks Bliley | Tracy Lynn Brooks Miss | Tracy Brooks Rosson Mrs
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Brooks Rosson'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
September 27, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 919 E Main St Fl 8, Richmond, VA 23219RIA
CRD#: 283390
RICHMOND, VA
Current
June 27, 2005 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 919 E Main St Fl 5 & 7, Richmond, VA 23219BD
CRD#: 17499
RICHMOND, VA
Past
October 4, 2005 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
July 1, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
January 13, 2001 - July 11, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 19, 2000 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
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(4/7/2021)
RR
Alaska(4/7/2021)
RR
Arizona(8/30/2019)
RR
Arkansas(4/7/2021)
RR
California(1/26/2011)
RR
Colorado(3/26/2018)
RR
Connecticut(4/7/2021)
RR
Delaware(4/7/2021)
RR
District of Columbia(6/8/2012)
RR
Florida(7/6/2010)
RR
Georgia(7/31/2012)
RR
Hawaii(4/7/2021)
RR
Idaho(4/7/2021)
RR
Illinois(4/7/2021)
RR
Indiana(4/7/2021)
RR
Iowa(4/7/2021)
RR
Kansas(3/26/2020)
RR
Kentucky(4/7/2021)
RR
Louisiana(4/7/2021)
RR
Maine(4/7/2021)
RR
Maryland(6/30/2005)
RR
Massachusetts(3/13/2018)
RR
Michigan(1/26/2011)
RR
Minnesota(4/7/2021)
RR
Mississippi(4/7/2021)
RR
Missouri(4/7/2021)
RR
Montana(4/7/2021)
RR
Nebraska(4/7/2021)
RR
Nevada(4/7/2021)
RR
New Hampshire(5/30/2017)
RR
New Jersey(4/7/2021)
RR
New Mexico(4/7/2021)
RR
New York(8/4/2010)
RR
North Carolina(8/13/2010)
RR
North Dakota(4/7/2021)
RR
Ohio(4/8/2021)
RR
Oklahoma(4/7/2021)
RR
Oregon(4/7/2021)
RR
Pennsylvania(1/26/2011)
RR
Puerto Rico(4/7/2021)
RR
Rhode Island(4/7/2021)
RR
South Carolina(1/31/2012)
RR
South Dakota(4/7/2021)
RR
Tennessee(8/9/2012)
RR
Texas(4/7/2021)
RR
Utah(4/7/2021)
RR
Vermont(4/7/2021)
RR
Virgin Islands(4/7/2021)
RR
Virginia(6/30/2005)
IAR
Virginia(9/27/2016)
RR
Washington(4/7/2021)
RR
West Virginia(1/4/2012)
RR
Wisconsin(4/7/2021)
RR
Wyoming(4/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Richmond, VA 23219TRUST BUT VERIFY
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