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CH

Cary L. Hearn

Some features on this profile are disabled
CRD#: 4877824
CH

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.

Cary Lee Hearn was a registered financial professional .

Cary is a previously registered financial professional and started their career in finance in 2005. Cary had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
AMERICAN HEART ASSOCIATION NATIONAL FINANCE COMMITTE POSITION: NATIONAL FINANCE COMMITTE MEMBER NATURE: OFFICER INVESTMENT RELATED: YES NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 3 START DATE: 06/24/2013 ADDRESS: 240 WHITTINGTON PARKWAY, LOUISVILLE KY 40220 DESCRIPTION: THE HEART ASSOCIATION WORKS TO COMBAT HEART DISEASE AND STROKE I NTHE COMMUNITY. I HAVE SERVED AS CHAIRMAN FOR THE LOCAL CHAPTER FOR THE LAST 4 YEARS. THIS NEW ROLE WOULD BE TO: THE HEART ASSOCIATION COMMITTEE WILL: *REVIEW AND REVISE ASSET ALLOCATION OF THE RESERVE AND ENDOWMENT FUNDS OF THE ASSOCIATION RECOMMENDED BY CAPITAL CITIES * SELECT AND DISCHARGE INVESTMENT MANAGERS AND/OR INVESTMENT CONSULTANTS, LIKE CAPITAL CITIES * REVIEW PERFORMANCE OF ACCOUNT AGAINST INDUSTRY BENCHMARKS PROVIDED BY CAPITAL CITIES * BRIEFING THEHEART ASSOCIATIONS CORPORATE OPERATIONS COMMITTEE ON THE PERFORMANCE OF ACCOUNTS THIS COMMITTEE DOES NOT PROVIDE OR RECOMMEND ANY INVESTMENT VEHICLES FOR CONSIDERATION. ITS SOLE PURPOSE IS TO OVERSEE THE OUTSIDE ADVISOR, CAPITAL CITIES. HOUSING AUTHORITY OF LOUISVILLE POSITION: DIRECTOR NATURE: BOARD MEMBER INVESTMENT RELATED: NO NUMBER OF HOURS: 3 INVESTMENT RELATED HOURS: 2 STARTDATE: 9/26/2014 ADDRESS:420 S 8TH ST, LOUISVILLE, KY 40203 DESCRIPTION: HELP PROVIDE STRATIGIC DEVELOPEMENT FOR LOW AND MODERATE INCOME TRACTS AMERICAN HEART ASSOCIATION POSITION: Board Member NATURE: Director INVESTMENT RELATED: No NUMBER OF HOURS: 13 SECURITIES TRADING HOURS: 3 START DATE: 03/11/2002 ADDRESS: 240 Whittington Parkway, Louisville KY 40222 DESCRIPTION: Advocacy and Health related group. Raising funds and awareness for the fight against heart disease and stroke KENTUCKY SOCCER REFEREE ASSOCIATION POSITION: Referee NATURE: Referee some soccer games for KY youth soccer. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/22/2023 ADDRESS: Louisville KY, United States DESCRIPTION: Referee Soccer Games

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 17, 2021 - February 11, 2025

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
LOUISVILLE, KY
Past

February 17, 2021 - February 11, 2025

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
LOUISVILLE, KY
Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

December 3, 2010 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
LOUISVILLE, KY
Past

November 11, 2010 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
LOUISVILLE, KY
Past

February 6, 2006 - October 27, 2006

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
LOUISVILLE, KY
Past

January 19, 2005 - October 27, 2006

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
LOUISVILLE, KY

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".
TA
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2010
General Securities Representative Examination

Current Firm

TA
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390

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