Alan J. Dargis
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.
Alan Jason Dargis was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 5 firms and has passed the Series 66, 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
September 1, 2016 - May 21, 2026
TRUIST ADVISORY SERVICES, INC.
November 18, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
November 15, 2013 - May 21, 2026
TRUIST INVESTMENT SERVICES, INC.
October 11, 2004 - November 20, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2004 - November 20, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 15, 2004 - October 14, 2004
UBS FINANCIAL SERVICES INC.
March 16, 2001 - October 14, 2004
UBS FINANCIAL SERVICES INC.
November 6, 1998 - March 22, 2001
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.
