Tarik Kabbaj
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.
Tarik Kabbaj was a registered financial professional .
Tarik is a previously registered financial professional and started their career in finance in 2000. Tarik had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - January 16, 2018
TRUIST ADVISORY SERVICES, INC.
August 17, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 13, 2015 - January 16, 2018
TRUIST INVESTMENT SERVICES, INC.
January 20, 2015 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2015 - July 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2014 - January 27, 2015
MORGAN STANLEY
November 8, 2013 - January 27, 2015
MORGAN STANLEY
February 13, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
May 18, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
April 30, 2001 - November 7, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - December 31, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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.
