Leslie K. Rock
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.
Leslie King Rock, who also goes by Leslie Lee King, Leslie King, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1994. Leslie had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - July 31, 2026
TRUIST ADVISORY SERVICES, INC.
July 18, 2003 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
July 18, 2003 - July 31, 2026
TRUIST INVESTMENT SERVICES, INC.
March 5, 2003 - July 30, 2003
UBS FINANCIAL SERVICES INC.
March 9, 2001 - July 30, 2003
UBS FINANCIAL SERVICES INC.
January 1, 1998 - March 19, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 19, 1994 - January 1, 1998
NATIONSSECURITIES
March 21, 1994 - September 6, 1994
ANDERSON & STRUDWICK, INCORPORATED
March 1, 1994 - March 28, 1994
CRESTAR SECURITIES 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.
