Kerry A. Aldrich

TRUIST SECURITIES

BOSTON, MA 02110

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CRD#: 2682000

Professional summary

Kerry A Aldrich, who also goes by Kerry Ann Aldrich, Kerry Ann Hummel, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Boston, Massachusetts.

Kerry is registered as a RR (Registered Representative) and started their career in finance in 1995. Kerry has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kerry Ann Aldrich | Kerry Ann Hummel

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) - BD

Click below to view Kerry A Aldrich's 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

June 24, 2024 - Present

TRUIST SECURITIES, INC.

Office #1: 100 High Street Fl 19, Boston, MA 02110

CRD#: 6271

BOSTON, MA

Past

December 22, 2015 - May 31, 2024

EVERCORE GROUP L.L.C.

CRD#: 42405

Boston, MA

Past

November 16, 2011 - December 31, 2015

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CRD#: 28195

BOSTON, MA

Past

April 26, 2010 - November 15, 2011

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

BOSTON, MA

Past

October 28, 2008 - February 8, 2010

FTN EQUITY CAPITAL MARKETS CORP.

CRD#: 119625

BOSTON, MA

Past

June 29, 2006 - November 21, 2007

JEFFERIES LLC

CRD#: 2347

BOSTON, MA

Past

April 28, 2004 - June 29, 2006

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

BOSTON, MA

Past

May 1, 2001 - April 20, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 26, 1999 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

July 8, 1996 - May 20, 1999

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 29, 1995 - July 22, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(6/24/2024)

Alaska
(6/24/2024)

Arizona
(6/24/2024)

Arkansas
(6/24/2024)

California
(6/24/2024)

Colorado
(6/24/2024)

Connecticut
(6/24/2024)

Delaware
(6/24/2024)

District of Columbia
(6/24/2024)

Florida
(6/24/2024)

Georgia
(6/24/2024)

Hawaii
(6/24/2024)

Idaho
(6/24/2024)

Illinois
(6/24/2024)

Indiana
(6/24/2024)

Iowa
(6/24/2024)

Kansas
(6/24/2024)

Kentucky
(6/24/2024)

Louisiana
(6/24/2024)

Maine
(6/24/2024)

Maryland
(6/24/2024)

Massachusetts
(6/24/2024)

Michigan
(6/24/2024)

Minnesota
(6/24/2024)

Mississippi
(6/24/2024)

Missouri
(6/24/2024)

Montana
(6/24/2024)

Nebraska
(6/24/2024)

Nevada
(6/24/2024)

New Hampshire
(6/24/2024)

New Jersey
(6/24/2024)

New Mexico
(6/24/2024)

New York
(6/24/2024)

North Carolina
(6/24/2024)

North Dakota
(6/24/2024)

Ohio
(6/24/2024)

Oklahoma
(6/24/2024)

Oregon
(6/24/2024)

Pennsylvania
(6/24/2024)

Puerto Rico
(6/24/2024)

Rhode Island
(6/24/2024)

South Carolina
(6/24/2024)

South Dakota
(6/24/2024)

Tennessee
(6/24/2024)

Texas
(6/24/2024)

Utah
(6/24/2024)

Vermont
(6/24/2024)

Virginia
(6/24/2024)

Washington
(6/24/2024)

West Virginia
(6/24/2024)

Wisconsin
(6/24/2024)

Wyoming
(6/24/2024)

Exams

State Security Law Exam

Series 63

Date: 12/26/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/6/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/3/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/27/2001

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TRUIST SECURITIES, INC.

CRD#: 6271 / SEC#: , 8-17212

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

740 Battery Ave, Atlanta, GA 30339

Mailing Address

740 Battery Ave, Atlanta, GA 30339

Phone number

(404) 926-5600

Established

Tennessee since 07/01/1972

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TRUIST FINANCIAL CORPORATION	PARENT COMPANY
COLEMAN, SHELLEY BRENNAN	AML OFFICER	3163295
FARRELL, KATHLEEN ANNE	BOARD MEMBER	4038178
HACKETT, THOMAS PATRICK	CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER	2878035
HUFFSTETLER, MARK	BOARD MEMBER AND CHIEF CREDIT OFFICER	2830214
HUMPHREYS, ADAM	SECRETARY AND CHIEF LEGAL OFFICER	7866934
JESSANI, KERRY	BOARD MEMBER	5048754
MILLIGAN, JOHN	PRINCIPAL OPERATIONS OFFICER	3206391
MORRIS, DONALD ROSS JR	CHIEF FINANCIAL OFFICER	3231801
PAPPAS, ALBERT GEORGE	CHIEF COMPLIANCE OFFICER	1875535

Disclosures

Regulatory Event	22
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kerry A. Aldrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kerry A Aldrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVERCORE GROUP L.L.C.

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

B. RILEY WEALTH MANAGEMENT

FTN EQUITY CAPITAL MARKETS CORP.

JEFFERIES LLC

BANC OF AMERICA SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/26/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/28/1995

Series 4

Date: 8/3/2006

Series 24

Date: 9/6/2001

Series 10

Date: 8/3/2001

Series 9

Date: 7/27/2001

FINRA

Nasdaq Stock Market

Current Firm

TRUIST SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRUIST SECURITIES, INC.

TRUST BUT VERIFY

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