Kenneth G. Rase
Professional summary
Kenneth George Rase, CFP®, CPWA® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Tampa, Florida and TRUIST INVESTMENT SERVICES, INC. located in Tampa, Florida.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kenneth has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth George Rase's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Start date: 2018-04-23
Expire date: 2024-03-31
Experience
August 17, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 401 E Jackson St Fl 20, Tampa, FL 33602February 22, 2016 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 401 E Jackson St Fl 1 & 19, Tampa, FL 33602February 25, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 10, 2014 - February 19, 2016
CETERA INVESTMENT ADVISERS LLC
February 4, 2014 - February 19, 2016
CETERA INVESTMENT SERVICES LLC
June 18, 2003 - February 6, 2014
CUNA BROKERAGE SERVICES, INC.
September 10, 2001 - February 6, 2014
CUNA BROKERAGE SERVICES, INC.
June 8, 2001 - July 12, 2001
MONY SECURITIES CORPORATION
April 24, 2001 - June 5, 2001
GUNNALLEN FINANCIAL, INC
December 4, 2000 - May 9, 2001
SIMMERS CAPITAL MANAGEMENT CORPORATION
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
(2/22/2016)
(8/13/2018)
(5/15/2024)
(6/22/2016)
(1/3/2017)
(1/24/2017)
(11/30/2023)
(2/22/2016)
(8/17/2016)
(2/22/2016)
(5/5/2022)
(6/18/2024)
(6/3/2016)
(5/26/2017)
(1/3/2017)
(5/26/2017)
(5/26/2017)
(1/3/2017)
(5/26/2017)
(10/11/2023)
(6/18/2024)
(6/20/2016)
(2/22/2016)
(9/18/2018)
(9/18/2018)
(10/28/2021)
(1/3/2017)
(10/30/2018)
(2/22/2016)
(2/24/2016)
(1/3/2017)
(5/26/2017)
(1/3/2017)
(4/12/2017)
(6/13/2016)
(3/23/2016)
(6/14/2017)
(6/18/2024)
(3/23/2016)
(2/22/2016)
(5/26/2017)
(5/26/2017)
(6/9/2022)
Exams
FINRA
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Tampa, FL 33602TRUST BUT VERIFY
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