Michael J. Novak
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.
Michael John Novak JR., who also goes by Michael John Novak, Mike John Novak Jr., was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - September 10, 2025
TRUIST ADVISORY SERVICES, INC.
February 10, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 2, 2015 - September 10, 2025
TRUIST INVESTMENT SERVICES, INC.
March 31, 2009 - February 9, 2015
HARRISDIRECT LLC
May 9, 2007 - February 9, 2015
E*TRADE SECURITIES LLC
September 15, 2006 - April 19, 2007
ECHOTRADE 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
Exams
Series 57TO
Date: 8/19/2021
Securities Trader ExamCurrent 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.
