Leslie K. Rock

TRUIST ADVISORY SERVICES

MACON, GA 31201

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CRD#: 2079276

Professional summary

Leslie King Rock, who also goes by Leslie Lee King, Leslie King, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Macon, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Macon, Georgia.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Leslie has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Lee King | Leslie King

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie King Rock's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 20, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 606 Cherry Street, Macon, GA 31201

RIA

CRD#: 283390

MACON, GA

Current

July 18, 2003 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 606 Cherry St, Macon, GA 31201

CRD#: 17499

Macon, GA

Past

July 18, 2003 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

DOUGLAS, GA

Past

March 5, 2003 - July 30, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MACON, GA

Past

March 9, 2001 - July 30, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 1998 - March 19, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 19, 1994 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

March 21, 1994 - September 6, 1994

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

RICHMOND, VA

Past

March 1, 1994 - March 28, 1994

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

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".

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.

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

Alabama
(1/26/2021)

California
(11/1/2023)

Florida
(4/26/2012)

Georgia
(7/18/2003)

IAR

Georgia
(9/20/2016)

Nevada
(5/2/2025)

North Carolina
(7/18/2003)

South Carolina
(7/18/2003)

Virginia
(1/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/17/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Leslie K. Rock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie King Rock's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

ANDERSON & STRUDWICK, INCORPORATED

CRESTAR SECURITIES CORPORATION

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/1995

Series 63

Date: 3/17/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/28/1994

Series 26

Date: 4/17/2006

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Contact information

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