Cary B. Daly

TRUIST ADVISORY SERVICES

RICHMOND, VA 23224

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CRD#: 2204775

Professional summary

Cary Baber Daly, who also goes by Cary Callaway Baber, Ceci Baber, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Richmond, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Richmond, Virginia.

Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Cary has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cary Callaway Baber | Ceci Baber

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 Cary Baber Daly'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

October 22, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 3, Richmond, VA 23224

RIA

CRD#: 283390

RICHMOND, VA

Current

October 22, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1001 Semmes Ave Fl 3, Richmond, VA 23224

CRD#: 17499

Richmond, VA

Past

June 8, 2021 - June 29, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ROANOKE, VA

Past

July 29, 2020 - June 29, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

ROANOKE, VA

Past

July 25, 2008 - January 5, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

July 25, 2008 - January 5, 2010

FIRST CLEARING, LLC

CRD#: 17344

GLEN ALLEN, VA

Past

November 1, 2006 - January 5, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

August 20, 2003 - March 16, 2006

BI INVESTMENTS, LLC

CRD#: 125437

GLEN ALLEN, VA

Past

April 10, 2003 - July 3, 2003

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

October 1, 1999 - May 17, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 9, 1993 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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

Virginia
(10/22/2021)

IAR

Virginia
(10/22/2021)

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: 5/18/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/29/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/17/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/1995

General 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

Cary B. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Baber Daly's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

FIRST CLEARING, LLC

WELLS FARGO CLEARING SERVICES, LLC

BI INVESTMENTS, LLC

FISERV INVESTOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2021

Series 63

Date: 1/10/1994

Series 7TO

Date: 7/29/2020

SIE

Date: 6/17/2019

Series 7

Date: 11/8/1993

Series 24

Date: 11/13/1995

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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