FF
Frank R. Fato
TRUIST ADVISORY SERVICES
MONROVIA, MD 21770
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CRD#: 2768620
FF
Professional summary
Frank Rosario Fato JR, who also goes by Frank Rosario Fato, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Monrovia, Maryland and TRUIST INVESTMENT SERVICES, INC. located in Oakland, Maryland.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Frank has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Rosario Fato
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.
TWIN OAKS HOME SALES LLC POSITION: Customer Service Representative NATURE: Twin Oaks Home Sales is an Independent, family owned, Manufactured Homes Dealership (Owned by my Parents). INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 15 START DATE: 07/01/2021 ADDRESS: , Buckhannon WV , United States DESCRIPTION: I would serve in a customer service type role working out of the office.In this role I would welcome shoppers and show them the homes located on the property.I would assist them in finding their new Home for purchase.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Rosario Fato JR'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®
NoneExperience
Current
August 18, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 11323 Fingerbroad Rd, Monrovia, MD 21770RIA
CRD#: 283390
MONROVIA, MD
Current
October 5, 2012 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 305 E Oak St, Oakland, MD 21550Office #2: 963 National Hwy, La Vale, MD 21502Office #3: 3402 Wisconsin Ave Nw, Washington, DC 20016Office #4: 2929 M St Nw, Washington, DC 20007Office #5: 11323 Fingerboard Rd, Monrovia, MD 21770Office #6: 5418 Wisconsin Avenue, Chevy Chase, MD 20815Office #7: 10721 New Georges Creek Rd Sw, Frostburg, MD 21532BD
CRD#: 17499
Oakland, MD
Past
October 9, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
WASHINGTON, DC
Past
July 8, 2010 - October 10, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BETHESDA, MD
Past
July 7, 2010 - October 10, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BETHESDA, MD
Past
November 24, 2009 - May 25, 2010
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CATONSVILLE, MD
Past
November 19, 2009 - May 25, 2010
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CATONSVILLE, MD
Past
September 29, 2006 - December 17, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
September 1, 2006 - December 17, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
December 7, 2005 - September 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, MD
Past
November 11, 2005 - September 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, MD
Past
September 26, 1996 - January 30, 2003
ALLFIRST BROKERAGE CORPORATION
BD
CRD#: 17531
BALTIMORE, MD
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".
TA
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.RR
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
RR
Alabama(4/16/2024)
RR
Alaska(3/9/2023)
RR
Arizona(4/16/2024)
RR
California(3/9/2023)
RR
Colorado(6/1/2021)
RR
Delaware(11/30/2023)
RR
District of Columbia(10/16/2012)
IAR
District of Columbia(11/14/2018)
RR
Florida(8/3/2022)
RR
Georgia(4/16/2024)
RR
Idaho(8/9/2024)
RR
Illinois(4/9/2025)
RR
Indiana(12/18/2023)
RR
Kentucky(7/26/2024)
RR
Maryland(10/9/2012)
IAR
Maryland(8/18/2016)
RR
Massachusetts(6/8/2021)
RR
Michigan(1/18/2022)
RR
Minnesota(8/9/2024)
RR
Mississippi(8/9/2024)
RR
New Jersey(8/9/2024)
RR
New Mexico(8/23/2021)
RR
New York(4/16/2024)
RR
North Carolina(3/17/2021)
RR
Ohio(4/17/2024)
RR
Oklahoma(8/9/2024)
RR
Oregon(6/23/2020)
RR
Pennsylvania(6/8/2021)
RR
South Carolina(3/9/2023)
RR
Tennessee(4/16/2024)
RR
Virginia(10/9/2012)
RR
Washington(8/3/2023)
RR
West Virginia(6/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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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)
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Monrovia, MD 21770TRUST BUT VERIFY
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