Julian C. Flores
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.
Julian C Flores, who also goes by Julian Cesar Flores, Julio Cesar Flores, Julian Flores, Julio C Flores, Julio Flores, was a registered financial professional .
Julian is a previously registered financial professional and started their career in finance in 2004. Julian had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - December 6, 2023
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - December 6, 2023
TRUIST INVESTMENT SERVICES, INC.
February 14, 2018 - February 17, 2021
BB&T SECURITIES, LLC
February 13, 2018 - February 17, 2021
BB&T SECURITIES, LLC
December 5, 2017 - December 21, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 1, 2017 - December 21, 2017
BBVA SECURITIES INC.
October 1, 2012 - September 8, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 8, 2017
J.P. MORGAN SECURITIES LLC
October 24, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 21, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 10, 2007 - August 19, 2008
USAA FINANCIAL ADVISORS, INC.
July 6, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
October 14, 2004 - June 29, 2007
OSAIC FS, 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.
