Cecilia B. Mavico

TRUIST ADVISORY SERVICES

CHARLOTTE, NC

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CRD#: 3261303

Professional summary

Cecilia Baute Mavico, who also goes by Cece Baute, Cecilia Margarita Baute, Cecilia Baute Jordaan, Cecilia Baute Mavico, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Charlotte, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.

Cecilia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Cecilia has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cece Baute | Cecilia Margarita Baute | Cecilia Baute Jordaan | Cecilia Baute Mavico

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.

KNIGHT MAV LLC POSITION: Limited Partner NATURE: Purchasing a house in Costa Rica with another family and leveraging a Costa Rican LLC. The house will serve as a rental property and managed by a third-party management company. The LLC is domiciled in Costa Rica. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2023 ADDRESS: Costa Rica DESCRIPTION: No duties as the property will be managed by a third-party manager. UNC SCHOOL OF LAW POSITION: Adjunct Professor NATURE: Law school INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 08/21/2023 ADDRESS: Chapel Hill NC, United States DESCRIPTION: co-teach class: Financial Services Compliance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cecilia Baute Mavico's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 12, 2023 - Present

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHARLOTTE, NC

Current

January 11, 2023 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 214 N Tryon St Fl 17 32, 33, 34, Charlotte, NC, 28202

CRD#: 17499

CHARLOTTE, NC

Past

March 2, 2022 - August 26, 2022

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Charlotte, NC

Past

June 3, 2002 - December 20, 2002

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

May 18, 2000 - June 10, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

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.

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

North Carolina
(6/7/2023)

IAR

North Carolina
(6/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/11/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/9/2001

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

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Cecilia B. Mavico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cecilia Baute Mavico's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

ROBINHOOD FINANCIAL, LLC

CLARK SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2023

Series 63

Date: 8/20/1999

Series 7

Date: 5/17/2000

Series 24

Date: 6/24/2022

Series 53

Date: 10/11/2001

Series 4

Date: 7/9/2001

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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