Karen E. Cole

TRUIST ADVISORY SERVICES

Tampa, FL 33611

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CRD#: 2852821

Professional summary

Karen Esposito Cole, CFP®, who also goes by Karen E Cole, Karen Esposito, Karen E Johnson, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Tampa, Florida and TRUIST INVESTMENT SERVICES, INC. located in Tampa, Florida.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Karen has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen E Cole | Karen Esposito | Karen E Johnson

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.

STRAZ CENTER FOR THE PERFORMING ARTS PRODUCERS BOARD POSITION: BOARD MEMBER NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 0 START DATE: 09/01/2000 ADDRESS: P.O. BOX 518 |, TAMPA FL 33601 DESCRIPTION: WE ARE AMBASSADORS AND RUNDRAISERS FOR THE STRAZ CENTER THE FLORIDA ORCHESTRA BOARD OF CONSULTANTS POSITION: BOARD OF CONSULTANTS MEMBER NATURE: BOARD OF CONSULTANTS IS AN ACTIVE BOARD THAT HELPS WITH FUNDRAISING AND AWARENESS FOR THE FLORIDA ORCHESTRA. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 06/01/2014 ADDRESS: 244 SECOND AVENUE NORTH, SUITE 420, ST. PETERSBURG FL 33701 DESCRIPTION: FLORIDA ORCHESTRA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Esposito Cole'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

July 16, 2020 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 4820 S Himes Ave, Tampa, FL 33611

RIA

CRD#: 283390

Tampa, FL

Current

July 10, 2020 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 401 E Jackson St, Tampa, FL 33602

CRD#: 17499

Tampa, FL

Past

January 2, 2018 - July 13, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

TAMPA, FL

Past

January 2, 2018 - July 13, 2020

BB&T SECURITIES, LLC

CRD#: 142785

TAMPA, FL

Past

November 25, 2009 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

TAMPA, FL

Past

October 9, 2009 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

TAMPA, FL

Past

January 29, 2008 - September 23, 2009

COLONIAL BROKERAGE, INC.

CRD#: 111668

TAMPA, FL

Past

July 24, 2006 - September 25, 2007

PROVISE MANAGEMENT GROUP, LLC

RIA

CRD#: 105375

CLEARWATER, FL

Past

September 26, 2005 - August 22, 2007

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CLEARWATER, FL

Past

October 1, 2000 - September 8, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 4, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

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

Florida
(7/10/2020)

IAR

Florida
(7/16/2020)

Georgia
(7/10/2020)

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

Series 63

Date: 3/5/1997

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: 11/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/1997

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Karen E. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Esposito Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

COLONIAL BROKERAGE, INC.

PROVISE MANAGEMENT GROUP, LLC

KESTRA INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2000

Series 6

Date: 3/3/1997

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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