Sarah C. Rock

TRUIST ADVISORY SERVICES

ROANOKE, VA 24011

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CRD#: 2084928

Professional summary

Sarah C Rock, who also goes by Sarah E Clark, Sarah Elizabeth Clark, Sarah Clark Clarke, Sarah C Rocks, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Roanoke, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Roanoke, Virginia.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Sarah has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sarah E Clark | Sarah Elizabeth Clark | Sarah Clark Clarke | Sarah C Rocks

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 Sarah C 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

June 28, 2022 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 10 Franklim Road Se, Roanoke, VA 24011

RIA

CRD#: 283390

ROANOKE, VA

Current

June 28, 2022 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 10 Franklin Rd Fl 5, Roanoke, VA 24011

CRD#: 17499

Roanoke, VA

Past

November 6, 2013 - July 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROANOKE, VA

Past

September 7, 2013 - July 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROANOKE, VA

Past

August 30, 1995 - November 3, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

June 1, 1992 - July 19, 1995

FERGUSON, ANDREWS & ASSOCIATES, INC.

CRD#: 30010

Past

July 17, 1991 - April 21, 1992

DOMINION INVESTMENT BANKING, INC.

CRD#: 17523

Past

November 1, 1990 - July 1, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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
(8/3/2022)

Alaska
(8/3/2022)

Arizona
(6/28/2022)

Arkansas
(8/3/2022)

California
(6/28/2022)

Colorado
(6/28/2022)

Connecticut
(6/28/2022)

Delaware
(8/3/2022)

District of Columbia
(6/28/2022)

Florida
(6/28/2022)

Georgia
(6/28/2022)

Hawaii
(8/3/2022)

Idaho
(8/3/2022)

Illinois
(8/3/2022)

Indiana
(6/28/2022)

Iowa
(8/3/2022)

Kansas
(8/3/2022)

Kentucky
(8/3/2022)

Louisiana
(6/28/2022)

Maine
(8/3/2022)

Maryland
(6/28/2022)

Massachusetts
(8/3/2022)

Michigan
(8/3/2022)

Minnesota
(8/3/2022)

Mississippi
(8/3/2022)

Missouri
(8/3/2022)

Montana
(8/3/2022)

Nebraska
(8/3/2022)

Nevada
(8/3/2022)

New Hampshire
(8/3/2022)

New Jersey
(6/28/2022)

New Mexico
(8/3/2022)

New York
(6/28/2022)

North Carolina
(6/28/2022)

North Dakota
(8/3/2022)

Ohio
(6/28/2022)

Oklahoma
(8/3/2022)

Oregon
(8/3/2022)

Pennsylvania
(6/28/2022)

Puerto Rico
(8/3/2022)

Rhode Island
(8/3/2022)

South Carolina
(6/28/2022)

South Dakota
(8/3/2022)

Tennessee
(6/28/2022)

Texas
(6/28/2022)

Utah
(8/3/2022)

Vermont
(8/3/2022)

Virgin Islands
(8/3/2022)

Virginia
(6/28/2022)

IAR

Virginia
(6/28/2022)

Washington
(6/28/2022)

West Virginia
(6/28/2022)

Wisconsin
(8/3/2022)

Wyoming
(6/28/2022)

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 66

Date: 11/6/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/1990

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: 9/6/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/7/1995

Municipal Securities 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 CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (12/1/2025)

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (12/1/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Sarah C. Rock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah C Rock's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

FERGUSON, ANDREWS & ASSOCIATES, INC.

DOMINION INVESTMENT BANKING, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2013

Series 65

Date: 4/25/1996

Series 63

Date: 11/15/1990

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2013

Series 53

Date: 2/7/1995

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

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