Kathryn M. Wallace
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.
Kathryn M Wallace, who also goes by Kathryn L Mccready, Kathryn Lyn Mccready, Kathryn Mccready Wallace, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2002. Kathryn had worked at 5 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 7TO, SIE, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2020 - August 2, 2021
TRUIST ADVISORY SERVICES, INC.
December 9, 2019 - August 2, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
August 26, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
August 26, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 15, 2014 - August 3, 2015
VALLEY FORGE ASSET MANAGEMENT, LLC
September 13, 2002 - August 3, 2015
VALLEY FORGE ASSET MANAGEMENT, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/29/2022
General Securities Representative ExaminationCurrent 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.
