Katherine D. Pope
Professional summary
Katherine Diane Pope, who also goes by Kathy Hayes, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Clinton, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Clinton, North Carolina.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Katherine has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Diane Pope's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 501 Warsaw Rd, Clinton, NC 28328February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 501 Warsaw Rd, Clinton, NC 28328Office #2: 501 Warsaw Rd, Clinton, NC 28328January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
October 3, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
February 15, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
August 26, 1997 - December 15, 2005
EDWARD JONES
July 21, 1994 - November 11, 1996
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
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Visual representation of state registrations
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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.
