Andrew D. Baron
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.
Andrew D Baron, who also goes by Andrew David Baron N/a, Andrew David Baron, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - November 2, 2016
TRUIST ADVISORY SERVICES, INC.
July 19, 2013 - November 2, 2016
TRUIST INVESTMENT SERVICES, INC.
July 19, 2013 - November 2, 2016
TRUIST INVESTMENT SERVICES, INC.
January 14, 2013 - May 17, 2013
OSAIC FA, INC.
October 23, 2009 - June 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2008 - October 23, 2009
BANC OF AMERICA 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.
