Brock E. Himan

TRUIST ADVISORY SERVICES

ASHEVILLE, NC 28801

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CRD#: 2420698

Professional summary

Brock Eugene Himan is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Asheville, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Seminole, Florida.

Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Brock has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

TRUTH IN NATURE POSITION: Board Member NATURE: Christian Youth program. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/22/2025 ADDRESS: Charlotte NC, United States DESCRIPTION: Advisory on programming.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Eugene Himan'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

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 301 College St Ste 210, Asheville, NC 28801

RIA

CRD#: 283390

ASHEVILLE, NC

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 7600 Seminole Blvd, Seminole, FL 33772Office #2: 301 College St Ste 210, Asheville, NC 28801

CRD#: 17499

Seminole, FL

Past

December 14, 2016 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

December 14, 2016 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

September 4, 2009 - January 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ASHEVILLE, NC

Past

September 4, 2009 - January 4, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ASHEVILLE, NC

Past

December 31, 2001 - September 14, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ASHVILLE, NC

Past

August 14, 2000 - September 14, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ASHVILLE, NC

Past

March 20, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

December 17, 1993 - April 3, 1998

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

Arizona
(2/17/2021)

California
(2/17/2021)

Colorado
(2/17/2021)

Connecticut
(2/17/2021)

Delaware
(8/5/2021)

District of Columbia
(2/17/2021)

Florida
(2/17/2021)

IAR

Florida
(2/26/2024)

Georgia
(2/17/2021)

Hawaii
(2/17/2021)

Idaho
(5/11/2021)

Indiana
(1/20/2024)

Kentucky
(2/17/2021)

Maryland
(2/17/2021)

Michigan
(2/17/2021)

Minnesota
(2/17/2021)

Missouri
(2/17/2021)

Montana
(2/17/2021)

Nevada
(2/17/2021)

New Hampshire
(2/17/2021)

New Jersey
(2/17/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

IAR

North Carolina
(2/17/2021)

Ohio
(2/17/2021)

Pennsylvania
(2/17/2021)

South Carolina
(2/17/2021)

South Dakota
(1/10/2025)

Tennessee
(2/17/2021)

Texas
(2/17/2021)

IAR

Texas
(4/15/2021)

Utah
(9/30/2021)

Virginia
(2/17/2021)

West Virginia
(10/9/2025)

Wisconsin
(7/11/2023)

Wyoming
(8/1/2023)

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: 1/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/27/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/16/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/23/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/16/2001

General Securities Sales Supervisor - Options Module 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.

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Brock E. Himan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Eugene Himan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/1994

Series 63

Date: 11/23/1993

SIE

Date: 10/1/2018

Series 3

Date: 9/27/2001

Series 7

Date: 12/16/1993

Series 10

Date: 5/23/2001

Series 9

Date: 5/16/2001

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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