TH
Traci B. Havens
TRUIST ADVISORY SERVICES
PALM BEACH, FL 33480
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CRD#: 3129969
TH
Professional summary
Traci Beth Havens, who also goes by Traci B Havens, Traci Beth Toll, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Palm Beach, Florida and TRUIST INVESTMENT SERVICES, INC. located in Palm Beach, Florida.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Traci has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Traci B Havens | Traci Beth Toll
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Traci Beth Havens's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 18, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 125 Worth Ave, Palm Beach, FL 33480RIA
CRD#: 283390
PALM BEACH, FL
Current
August 19, 2013 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 125 Worth Ave, Palm Beach, FL 33480BD
CRD#: 17499
Palm Beach, FL
Past
August 27, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
PALM BEACH, FL
Past
May 25, 2012 - August 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PALM BEACH GARDENS, FL
Past
May 24, 2012 - August 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PALM BEACH GARDENS, FL
Past
November 1, 2000 - April 4, 2012
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
WEST PALM BEACH, FL
Past
October 31, 2000 - April 4, 2012
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WEST PALM BEACH, FL
Past
August 22, 2000 - September 28, 2000
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
November 11, 1998 - August 16, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/12/2019)
RR
Alaska(4/28/2021)
RR
Arizona(9/13/2013)
RR
Arkansas(4/28/2021)
RR
California(8/28/2013)
RR
Colorado(8/29/2013)
RR
Connecticut(4/28/2021)
RR
Delaware(4/28/2021)
RR
District of Columbia(9/10/2013)
RR
Florida(8/27/2013)
IAR
Florida(8/18/2016)
RR
Georgia(8/26/2013)
RR
Hawaii(4/28/2021)
RR
Idaho(4/28/2021)
RR
Illinois(8/28/2013)
RR
Indiana(4/28/2021)
RR
Iowa(4/28/2021)
RR
Kansas(4/28/2021)
RR
Kentucky(3/6/2018)
RR
Louisiana(4/28/2021)
RR
Maine(8/22/2019)
RR
Maryland(9/3/2013)
RR
Massachusetts(11/1/2018)
RR
Michigan(3/30/2020)
RR
Minnesota(4/28/2021)
RR
Mississippi(4/28/2021)
RR
Missouri(8/2/2018)
RR
Montana(4/28/2021)
RR
Nebraska(4/28/2021)
RR
Nevada(4/28/2021)
RR
New Hampshire(4/28/2021)
RR
New Jersey(8/28/2013)
RR
New Mexico(4/28/2021)
RR
New York(8/28/2013)
RR
North Carolina(8/29/2013)
RR
North Dakota(4/28/2021)
RR
Ohio(8/28/2013)
RR
Oklahoma(4/28/2021)
RR
Oregon(4/28/2021)
RR
Pennsylvania(1/12/2017)
RR
Puerto Rico(4/28/2021)
RR
Rhode Island(4/28/2021)
RR
South Carolina(10/18/2019)
RR
South Dakota(4/28/2021)
RR
Tennessee(4/28/2021)
RR
Texas(9/10/2013)
RR
Utah(11/14/2016)
RR
Vermont(4/28/2021)
RR
Virgin Islands(4/28/2021)
RR
Virginia(8/29/2013)
RR
Washington(4/28/2021)
RR
West Virginia(4/28/2021)
RR
Wisconsin(4/28/2021)
RR
Wyoming(4/28/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
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#: 283390Palm Beach, FL 33480TRUST BUT VERIFY
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