Ken Tanaka

TRUIST ADVISORY SERVICES

MIAMI BEACH, FL 33139

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CRD#: 4464403

Professional summary

Ken Tanaka, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Miami Beach, Florida and TRUIST INVESTMENT SERVICES, INC. located in Plantation, Florida.

Ken is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ken has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ken Tanaka's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

November 7, 2016 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 1220 17th Street Suite 104, Miami Beach, FL 33139

RIA

CRD#: 283390

MIAMI BEACH, FL

Current

January 28, 2016 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 450 N Pine Island Rd, Plantation, FL 33324

CRD#: 17499

PLANTATION, FL

Past

May 9, 2013 - November 2, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOLLYWOOD, FL

Past

May 29, 2007 - April 30, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

July 21, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

WASHINGTON, DC

Past

March 18, 2005 - April 12, 2005

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

September 11, 2003 - April 22, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 22, 2002 - May 2, 2002

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

November 7, 2001 - March 22, 2002

DISCOVERY CAPITAL GROUP

CRD#: 29355

CORAL SPRINGS, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/8/2025)

Arkansas
(9/16/2025)

California
(8/6/2025)

Colorado
(8/4/2025)

Connecticut
(8/4/2025)

Florida
(3/21/2016)

IAR

Florida
(11/7/2016)

Georgia
(1/28/2016)

Illinois
(8/11/2025)

Kentucky
(8/6/2025)

Maine
(8/4/2025)

Maryland
(10/22/2025)

Michigan
(8/5/2025)

Nevada
(8/4/2025)

New Jersey
(8/4/2025)

New York
(8/2/2025)

North Carolina
(8/4/2025)

Ohio
(8/4/2025)

Pennsylvania
(8/4/2025)

Puerto Rico
(8/19/2025)

South Carolina
(8/6/2025)

Tennessee
(8/5/2025)

Texas
(8/3/2025)

Utah
(8/4/2025)

Virginia
(8/5/2025)

Washington
(8/1/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/28/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

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Ken Tanaka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ken Tanaka's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

P.J. ROBB VARIABLE, LLC

MML INVESTORS SERVICES, LLC

CONTINENTAL BROKER-DEALER CORP.

DISCOVERY CAPITAL GROUP

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2016

Series 63

Date: 1/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/6/2001

Series 26

Date: 7/28/2006

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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