Stephen Berrocal
Professional summary
Stephen Berrocal, who also goes by Steve Berrocal, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Coral Gables, Florida and TRUIST INVESTMENT SERVICES, INC. located in Coral Gables, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Berrocal's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 24, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 201 Alhambra Circle Fl 14, Coral Gables, FL 33134August 2, 2013 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 201 Alhambra Cir Fl 1 & 14, Coral Gables, FL 33134August 5, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 19, 2013 - April 18, 2013
TRUIST INVESTMENT SERVICES, INC.
March 11, 2013 - April 18, 2013
TRUIST INVESTMENT SERVICES, INC.
October 1, 2012 - March 6, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 6, 2013
J.P. MORGAN SECURITIES LLC
August 18, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 31, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 1, 2008 - July 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 31, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 29, 2003 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 5, 2001 - September 26, 2003
STERLING FINANCIAL INVESTMENT GROUP, 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
(6/24/2025)
(1/29/2016)
(7/16/2025)
(6/27/2025)
(8/6/2013)
(8/24/2016)
(8/7/2013)
(6/4/2025)
(8/13/2015)
(6/22/2023)
(2/24/2014)
(7/18/2025)
(5/22/2024)
(7/6/2023)
(6/12/2025)
(3/24/2014)
(2/12/2026)
(12/9/2014)
(8/1/2014)
(2/9/2026)
(7/2/2025)
Exams
FINRA
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Coral Gables, FL 33134TRUST BUT VERIFY
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