Karen M. Vitt
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.
Karen Michelle Vitt, CFP®, who also goes by Karen Rodriguez, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1997. Karen had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - April 4, 2025
TRUIST ADVISORY SERVICES, INC.
December 10, 2020 - April 4, 2025
TRUIST INVESTMENT SERVICES, INC.
November 5, 2018 - October 20, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2018 - October 20, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 2018 - October 15, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 13, 2018 - October 15, 2018
TD AMERITRADE, INC.
September 12, 2018 - October 15, 2018
TD AMERITRADE, INC.
September 30, 2016 - May 11, 2018
TRUIST ADVISORY SERVICES, INC.
September 6, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 29, 2016 - May 11, 2018
TRUIST INVESTMENT SERVICES, INC.
April 25, 2012 - August 22, 2016
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - August 22, 2016
PNC WEALTH MANAGEMENT LLC
November 13, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 27, 2003 - March 12, 2008
WAMU INVESTMENTS, INC.
June 19, 1997 - March 14, 2003
A. G. EDWARDS & SONS, INC.
June 16, 1997 - March 14, 2003
A. G. EDWARDS & SONS, INC.
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.
