Charles H. Isasi
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.
Charles Henry Isasi, who also goes by Charles Isasi, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2016 - May 16, 2025
TRUIST ADVISORY SERVICES, INC.
April 10, 2008 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 10, 2008 - May 16, 2025
TRUIST INVESTMENT SERVICES, INC.
January 3, 2008 - March 7, 2008
COLONIAL BROKERAGE, INC.
August 16, 2007 - January 14, 2008
VALIC FINANCIAL ADVISORS, INC.
April 19, 2007 - January 14, 2008
VALIC FINANCIAL ADVISORS, INC.
February 13, 2007 - February 15, 2007
VALIC FINANCIAL ADVISORS, INC.
April 18, 2006 - April 26, 2007
AVANTAX INVESTMENT SERVICES, INC.
August 30, 2004 - April 4, 2006
NBC SECURITIES, INC.
March 7, 2001 - August 30, 2004
SOUTHTRUST SECURITIES, LLC
March 7, 2001 - August 30, 2004
SOUTHTRUST SECURITIES, LLC
February 12, 2001 - March 5, 2001
ALLSTATE FINANCIAL SERVICES, LLC
October 13, 1999 - August 4, 2000
RYAN BECK & CO.
July 30, 1998 - October 15, 1999
FIRST UNION BROKERAGE SERVICES, INC.
June 3, 1998 - July 20, 1998
A. G. EDWARDS & SONS, INC.
September 2, 1997 - January 20, 1998
THE INVESTMENT CENTER, INC.
January 11, 1995 - September 3, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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.
