Cara L. Becker
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.
Cara Laiolo Becker, who also goes by Cara Noelle Laiolo, Cara Laiolo, was a registered financial professional .
Cara is a previously registered financial professional and started their career in finance in 2008. Cara had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 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
May 28, 2021 - November 2, 2023
TRUIST ADVISORY SERVICES, INC.
May 27, 2021 - November 2, 2023
TRUIST INVESTMENT SERVICES, INC.
April 15, 2011 - June 7, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 13, 2011 - June 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 17, 2008 - April 14, 2011
TRUIST INVESTMENT SERVICES, INC.
April 18, 2008 - April 14, 2011
TRUIST INVESTMENT SERVICES, INC.
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
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.
