Christopher K. Ross
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.
Christopher King Ross, who also goes by Chris Ross, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - November 20, 2023
TRUIST ADVISORY SERVICES, INC.
April 3, 2018 - November 20, 2023
TRUIST INVESTMENT SERVICES, INC.
September 29, 2010 - April 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2010 - April 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 25, 2008 - July 13, 2010
NEUBERGER BERMAN BD LLC
March 19, 2008 - July 13, 2010
NEUBERGER BERMAN BD LLC
July 18, 2005 - March 24, 2008
TRUIST INVESTMENT SERVICES, INC.
July 18, 2005 - March 24, 2008
TRUIST INVESTMENT SERVICES, INC.
August 29, 2001 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 26, 2001 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 8, 1999 - September 27, 2000
MORGAN STANLEY DW INC.
September 24, 1998 - March 16, 1999
OLD KENT FINANCIAL ADVISORS
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: 4/27/1999
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.
