Carolyn J. Kuhnel
Professional summary
Carolyn J Kuhnel, who also goes by Carolyn Jane Kuhnel, Carolyn Jane Swift, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Dallas, Texas and TRUIST INVESTMENT SERVICES, INC. located in Dallas, Texas.
Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carolyn has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carolyn J Kuhnel's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2024 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 100 Crescent Ct Ste 1000, Dallas, TX 75201September 10, 2024 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 100 Crescent Ct Fl 10, Dallas, TX 75201December 6, 2007 - July 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 16, 2007 - July 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2005 - May 23, 2006
BANC ONE SECURITIES CORPORATION
December 7, 2004 - May 23, 2006
BANC ONE SECURITIES CORPORATION
February 6, 2002 - November 2, 2004
CHASE INVESTMENT SERVICES CORP.
May 16, 2001 - January 31, 2002
FIDELITY BROKERAGE SERVICES 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
(11/18/2024)
(11/18/2024)
Exams
Series 7TO
Date: 9/10/2024
General 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.
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Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Dallas, TX 75201TRUST BUT VERIFY
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