Yvette C. Heatly
Professional summary
Yvette Cummings Heatly, who also goes by Yvette Cummings, Yvette C Heatly, Yvette Heatly, Yvette Cummings Turner, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in St. Petersburg, Florida and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.
Yvette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Yvette has worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Yvette Cummings Heatly's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
March 1, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 214 N Tryon St Fl 17 32, 33, 34, Charlotte, NC, 28202July 18, 2018 - March 11, 2021
WALLER & WAX ADVISORS, INC.
January 24, 2018 - February 17, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 21, 2017 - February 17, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 2017 - August 8, 2017
SIGNATOR INVESTORS, INC.
October 20, 2016 - December 31, 2016
SIGNATOR INVESTORS, INC.
October 19, 2016 - August 8, 2017
SIGNATOR INVESTORS, INC.
September 14, 2016 - October 12, 2016
TRUIST ADVISORY SERVICES, INC.
May 14, 2013 - October 12, 2016
TRUIST INVESTMENT SERVICES, INC.
May 10, 2013 - October 12, 2016
TRUIST INVESTMENT SERVICES, INC.
April 19, 2011 - May 31, 2013
MORGAN STANLEY
April 18, 2011 - May 31, 2013
MORGAN STANLEY
June 24, 2009 - March 24, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 22, 2009 - March 24, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 26, 2009 - June 1, 2009
LINCOLN INVESTMENT
February 9, 2009 - June 1, 2009
LINCOLN INVESTMENT
June 12, 2007 - May 14, 2008
OSAIC WEALTH, INC.
July 21, 2006 - April 4, 2007
UBS FINANCIAL SERVICES INC.
July 5, 2006 - April 4, 2007
UBS FINANCIAL SERVICES INC.
March 10, 2006 - June 22, 2006
INVEST FINANCIAL CORPORATION
February 27, 2006 - June 22, 2006
INVEST FINANCIAL CORPORATION
October 10, 2005 - December 8, 2005
COMMONWEALTH CAPITAL SECURITIES CORP.
August 11, 2005 - September 13, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 4, 2005 - September 13, 2005
AMERIPRISE ADVISOR SERVICES, INC.
November 5, 2004 - August 3, 2005
MSI FINANCIAL SERVICES, INC.
November 1, 2004 - August 3, 2005
METROPOLITAN LIFE INSURANCE COMPANY
November 1, 2004 - August 3, 2005
MSI FINANCIAL SERVICES, INC.
October 6, 2004 - October 25, 2004
INVEST FINANCIAL CORPORATION
September 20, 2004 - October 25, 2004
INVEST FINANCIAL CORPORATION
July 14, 2003 - August 31, 2004
MORGAN STANLEY DW INC.
June 13, 2003 - August 31, 2004
MORGAN STANLEY DW INC.
July 1, 2002 - May 30, 2003
WILLIAM R. HOUGH & CO.
January 26, 2001 - July 9, 2002
RAYMOND JAMES & ASSOCIATES, 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
(3/1/2021)
(8/23/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
