Kathryn A. Harvey
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.
Kathryn Ann Harvey, who also goes by Teri Eckhardt, Teri Harvey, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1997. Kathryn had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2018 - February 3, 2022
TRUIST ADVISORY SERVICES, INC.
June 5, 2018 - February 3, 2022
TRUIST INVESTMENT SERVICES, INC.
September 14, 2016 - March 6, 2018
TRUIST ADVISORY SERVICES, INC.
April 3, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
April 2, 2014 - March 6, 2018
TRUIST INVESTMENT SERVICES, INC.
March 1, 2013 - January 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2013 - January 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - May 1, 2012
CUNA BROKERAGE SERVICES, INC.
January 13, 2003 - May 1, 2012
CUNA BROKERAGE SERVICES, INC.
August 19, 1997 - November 21, 2002
MORGAN STANLEY DW INC.
August 13, 1997 - November 21, 2002
MORGAN STANLEY DW 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.
