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ST

Santiago J. Torres

Some features on this profile are disabled
CRD#: 5644622
ST

Professional summary

Santiago J Torres JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Santiago is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Santiago had worked at 6 firms, which includes TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., BB&T SECURITIES LLC, BB&T INVESTMENT SERVICES INC., PNC WEALTH MANAGEMENT LLC, CHASE INVESTMENT SERVICES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Santiago J Torres

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)

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 - October 18, 2024

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
WYOMISSING, PA
Past

February 17, 2021 - October 18, 2024

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
WILLOW STREET, PA
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

July 6, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
WYOMISSING, PA
Past

March 7, 2017 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
WYOMISSING, PA
Past

September 29, 2010 - July 15, 2016

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
WILLOW STREET, PA
Past

April 22, 2009 - September 10, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
EWING, NJ

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
IAR
Series 65
Date: 7/5/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/2009
Uniform Securities Agent 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: 4/12/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/21/2009
Investment Company Products/Variable Contracts 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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