Kenneth J. Mettrock
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.
Kenneth John Mettrock, who also goes by John Mettrock, Ken John Mettrock, Ken Mettrock, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2016 - April 1, 2022
TRUIST ADVISORY SERVICES, INC.
August 15, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 2, 2011 - April 1, 2022
TRUIST INVESTMENT SERVICES, INC.
April 26, 2010 - July 26, 2011
PNC WEALTH MANAGEMENT LLC
April 7, 2010 - July 26, 2011
PNC WEALTH MANAGEMENT LLC
October 23, 2009 - April 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 4, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 1, 2003 - August 10, 2006
J. B. HANAUER & CO.
October 5, 2001 - August 10, 2006
J. B. HANAUER & CO.
September 24, 2001 - September 24, 2001
J. B. HANAUER & CO.
June 22, 1994 - October 24, 2001
QUICK & REILLY, INC.
May 15, 1992 - June 2, 1994
BILTMORE SECURITIES, INC.
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
Series 8
Date: 4/10/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
